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BG

Brett D. Guiley

VISTA INVESTMENT PARTNERS
RICHMOND, IN 47374
CRD#: 4145989
Some features on this profile are disabled
BG
Brett Douglas GuileyVISTA INVESTMENT PARTNERS

Professional summary

Brett Douglas Guiley, CFP®, who also goes by Brett D Guiley, Brett D. Guiley, is a registered financial advisor currently at VISTA INVESTMENT PARTNERS located in Richmond, Indiana and LEVEL FOUR FINANCIAL, LLC located in Richmond, Indiana.

Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brett has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brett D Guiley | Brett D. Guiley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Douglas Guiley's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2011

Experience

Current

November 2, 2023 - Present

VISTA INVESTMENT PARTNERS

Office #1: One Woodside Drive, Richmond, IN 47374
RIA
CRD#: 327983
RICHMOND, IN
Current

October 17, 2022 - Present

LEVEL FOUR FINANCIAL, LLC

Office #1: 1 Woodside Drive, Richmond, IN 47374
BD
CRD#: 25700
RICHMOND, IN
Past

February 2, 2018 - November 20, 2023

VISTA INVESTMENT PARTNERS LLC

RIA
CRD#: 286014
RICHMOND, IN
Past

January 2, 2018 - January 18, 2022

CANTELLA & CO., INC.

BD
CRD#: 13905
Richmond, IN
Past

January 12, 2006 - December 31, 2017

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
RICHMOND, IN
Past

December 20, 2005 - December 31, 2017

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
RICHMOND, IN
Past

June 26, 2000 - January 13, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
RICHMOND, IN
Past

May 3, 2000 - January 13, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VI
VISTA INVESTMENT PARTNERS
ORANGE HORIZON WEALTH, LLC | VISTA INVESTMENT PARTNERS II, LLC | VISTA INVESTMENT PARTNERS

CRD#: 327983 / SEC#: 801-128904

RIA
Registered Investment Advisory firm - (10/13/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(1/13/2023)
RR
Illinois
(1/5/2024)
RR
Indiana
(10/17/2022)
IAR
Indiana
(11/2/2023)
RR
Missouri
(1/3/2023)
RR
Ohio
(1/4/2023)
IAR
Texas
(1/22/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/8/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/1/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/28/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/10/2006
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

VI
VISTA INVESTMENT PARTNERS
ORANGE HORIZON WEALTH, LLC | VISTA INVESTMENT PARTNERS II, LLC | VISTA INVESTMENT PARTNERS

CRD#: 327983 / SEC#: 801-128904

RIA
Registered Investment Advisory firm - (10/13/2023 Approved)
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Contact information

Main Address
One Woodside Drive, Richmond, IN 47374
Mailing Address
Phone number
(765) 962-5153
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

VISTA BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,427
AUM (Assets Under Management)$ 321,808,359

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

VISTA INVESTMENT PARTNERS

CRD#: 327983Richmond, IN 47374

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