Jacob N. Guinn

HFG WEALTH MANAGEMENT

THE WOODLANDS, TX 77380

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CRD#: 4228149

Professional summary

Jacob N. Guinn, who also goes by Jacob Nolan Guinn, is a registered financial advisor currently at HFG WEALTH MANAGEMENT, LLC located in The Woodlands, Texas.

Jacob is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Jacob has worked at 10 firms and has passed the Series 65, Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jacob Nolan Guinn

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.

INSURANCE AGENT, AS JACOB N. GUINN,1 HOUR PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob N. Guinn'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®

None

Experience

Current

May 6, 2022 - Present

HFG WEALTH MANAGEMENT, LLC

Office #1: 1790 Hughes Landing Blvd Suite 575, The Woodlands, TX 77380

RIA

CRD#: 148406

THE WOODLANDS, TX

Past

January 7, 2020 - April 14, 2022

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

HOUSTON, TX

Past

January 7, 2020 - April 14, 2022

J.P. MORGAN SECURITIES LLC

CRD#: 79

HOUSTON, TX

Past

December 18, 2018 - December 26, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

December 17, 2018 - December 26, 2019

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, TX

Past

January 27, 2014 - September 14, 2018

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

HUNTSVILLE, TX

Past

May 16, 2013 - September 14, 2018

BBVA SECURITIES INC.

CRD#: 27060

SPRING, TX

Past

April 1, 2010 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

CONROE, TX

Past

July 30, 2001 - December 23, 2009

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

CONROE, TX

Past

April 9, 2001 - July 30, 2001

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

July 14, 2000 - January 12, 2001

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 14, 2000 - January 12, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

HFG WEALTH MANAGEMENT, LLC

HARVEY FINANCIAL GROUP | HFG WEALTH MANAGEMENT, LLC

CRD#: 148406 / SEC#: 801-69751

RIA

Registered Investment Advisory firm - (11/28/2008 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.

Highlighted states indicate IAR registrations

IAR

Texas
(5/6/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/23/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/20/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 9/14/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/13/2000

General Securities Representative Examination

Current Firm

HFG WEALTH MANAGEMENT, LLC

HARVEY FINANCIAL GROUP | HFG WEALTH MANAGEMENT, LLC

CRD#: 148406 / SEC#: 801-69751

RIA

Registered Investment Advisory firm - (11/28/2008 Approved)

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Contact information

Main Address

1790 Hughes Landing Blvd Suite 575, The Woodlands, TX 77380

Mailing Address

Phone number

(832) 585-0110

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HFG WEALTH MANAGEMENT, LLC ADV PART 2A (3/7/2025)

Regulatory assets under management

Total Number of Accounts	1,447
AUM (Assets Under Management)	$ 460,740,848

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.

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Jacob N. Guinn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob N. Guinn's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

GUARANTY BROKERAGE SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

HFG WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/23/2014

Series 66

Date: 7/20/2000

Series 6TO

Date: 1/2/2023

SIE

Date: 9/14/2018

Series 7

Date: 7/13/2000

Current Firm

HFG WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HFG WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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