Denise L. Doley

GUARDIAN INVESTMENT MANAGEMENT

TIBURON, CA 94920

CRD#: 4231817

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Professional summary

Denise Louise Doley is a registered financial advisor currently at GUARDIAN INVESTMENT MANAGEMENT located in Tiburon, California.

Denise is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Denise has worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Denise Louise Doley'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

April 9, 2021 - Present

GUARDIAN INVESTMENT MANAGEMENT

Office #1: 1120 Mar West St., Suite D, Tiburon, CA 94920

RIA

CRD#: 104935

TIBURON, CA

Past

January 27, 2003 - April 14, 2005

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

SAN FRANCISCO, CA

Past

January 17, 2003 - April 14, 2005

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

October 9, 2000 - January 17, 2003

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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".

GUARDIAN INVESTMENT MANAGEMENT

GUARDIAN INVESTMENT MANAGEMENT | GUARDIAN INVESTMENT MANAGEMENT, LLC

CRD#: 104935 / SEC#: 801-11279

RIA

Registered Investment Advisory firm - (1/22/1976 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

California
(4/9/2021)

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: 4/8/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/4/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/7/2000

General Securities Representative Examination

Current Firm

GUARDIAN INVESTMENT MANAGEMENT

GUARDIAN INVESTMENT MANAGEMENT | GUARDIAN INVESTMENT MANAGEMENT, LLC

CRD#: 104935 / SEC#: 801-11279

RIA

Registered Investment Advisory firm - (1/22/1976 Approved)

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Contact information

Main Address

1120 Mar West St., Suite D, Tiburon, CA 94920

Mailing Address

Phone number

(415) 765-6860

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUARDIAN ADV PART2 3-29-2024 (3/6/2026)

Regulatory assets under management

Total Number of Accounts	127
AUM (Assets Under Management)	$ 310,319,536

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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Denise L. Doley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denise Louise Doley's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUARDIAN INVESTMENT MANAGEMENT

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

Primary Firm SEC Registration

GUARDIAN INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/8/2021

Series 66

Date: 11/4/2000

Series 7

Date: 10/7/2000

Current Firm

GUARDIAN INVESTMENT MANAGEMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUARDIAN INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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