SG
Stephen R. Gibson
GUIDANCE CAPITAL
Louisville, KY 40245
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CRD#: 5557258
SG
Professional summary
Stephen Randall Gibson, who also goes by Stephen R Gibson, Stephen Randall Gibson, is a registered financial advisor currently at GUIDANCE CAPITAL, INC. located in Louisville, Kentucky and DMLO WEALTH PLANNING, LLC located in Louisville, Kentucky.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Stephen has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen R Gibson | Stephen Randall Gibson
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.
1) Dynamic Market Advantage, LLC. 2020 High Wickham Place, Suite 200, Louisville, KY 40245. Investment Management for separately managed accounts. Marketing and portfolio structure. 8 hrs/mo; 2 during trading hrs. 2) Access Justice. 521 N 26th St, Louisville, KY 40212. Charity that provides pro bono legal work. Duties include attending monthly meetings and vote on certain topics as they arise. 1 hr/mo; 0 during trading hrs. 3) Ford Family Fhilanthropic. 2210 Tremont Road, Upper Arlington, OH 43221. Distributing money to other 501(c)(3) charities and for various causes around the Louisville and Columbus area. Duties include attending annual meetings and vote on certain topics as they arise. 1 hr/mo; 0 during trading hrs. 4) Ford Family Foundation, Inc. 2210 Tremont Road, Upper Arlington, OH 43221. Determining which 501(c)(3) charities to fund for various efforts or projects. Duties include attending annual meetings and vote on certain topics as they arise. 1 hr/mo; 0 during trading hrs. 5) Guidance Capital, Inc. 2020 High Wickham Place, Suite 200, Louisville, KY 40245. Managing Partner & Treasurer. 240 hrs/mo; 7 during trading hrs. 6) Oldham County Community Foundation. 325 W Main St, #1110, Louisville, KY 40202. Raising money for other 501 (c)(3) charity organizations in Oldham County. Duties include attending annual meetings and vote on certain topics as they arise. 1 hr/mo; 0 during trading hrs. 7) Prospect/Goshen Rotary Club. 6807 Foxcroft Rd, Prospect, KY 40059. Helping decide certain programs and activities for the non-profit. Duties include attending annual meetings and vote on certain topics as they arise. 2 hrs/mo; 0 during trading hrs. 8) WHLouisville, Inc. 2020 High Wickham Place, Suite 200, Louisville, KY 40245. Raising money and distributing money to other 501(c)(3) charities and for various causes around the Louisville area. Duties include attending annual meetings and vote on certain topics as they arise. 1 hr/mo; 0 during trading hrs. 9) DMLO Wealth Planning. 2020 High Wickham Place, Suite 200, Louisville, KY 40245. Director, financial advisor, and chief compliance officer. 20 hrs/mo; 10 during trading hrs. 10) Guidance Consulting, LLC. 200 Wickham Place, Ste 200, Louisville, KY 40245. Consulting for financial planning with regards to DMLO Wealth Planning, LLC. Will conduct financial planning and investment management services for clients of DMLO Wealth Planning, LLC. 11) Greater Louisville & LaGrange Baptist Health Foundation. 4007 Kresge Way, Louisville, KY 40207. A foundation for the Louisville & Lagrange hospitals to help distribute funds to the hospitals and hospitals employees & parents in need. Board member. 1 hr/mo; 1 during trading hrs. 12) Top Shelf Brands, LLC. 1761 Frankfort Avenue, Louisville, KY 40206. A holding company for a bar and restaurant. Silent partner/member. 2 hrs/mo; 0 during trading hrs. Not investment related. 13) Greater Louisville & LaGrange Baptist Health Foundation. 4007 Kresge Way, Louisvilel KY 40207. A foundation for the Louisville and Lagrange Hospitals to help distribute funds to the hospitals and hospitals employees & patients in need. Board Member. 1 hr/mo; 1 during trading hrs. Not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Randall Gibson's 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®
NoneExperience
Current
October 28, 2022 - Present
GUIDANCE CAPITAL, INC.
Office #1: 2020 High Wickham Place Suite 200, Louisville, KY 40245RIA
CRD#: 323541
Louisville, KY
Current
May 19, 2023 - Present
DMLO WEALTH PLANNING, LLC
Office #1: 2020 High Wickham Place Suite 200, Louisville, KY 40245RIA
CRD#: 316202
Louisville, KY
Current
December 1, 2022 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 2020 High Wickham Place, Ste 200, Louisville, KY 40245RIA
BD
CRD#: 120222
Louisville, KY
Past
March 24, 2017 - December 15, 2022
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
Louisville, KY
Past
March 24, 2017 - December 15, 2022
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
Louisville, KY
Past
December 12, 2013 - March 28, 2017
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
LOUISVILLE, KY
Past
October 29, 2013 - March 28, 2017
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
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".
GC
GUIDANCE CAPITAL, INC.
GUIDANCE CAPITAL, INC.
CRD#: 323541 / SEC#: 801-126764
RIA
Registered Investment Advisory firm - (10/21/2022 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
Alabama(9/8/2023)
RR
California(4/13/2023)
RR
Georgia(1/5/2024)
RR
Indiana(12/1/2022)
RR
Kansas(3/10/2025)
IAR
Kentucky(10/28/2022)
RR
Kentucky(12/1/2022)
RR
Michigan(9/12/2023)
RR
New Jersey(1/5/2024)
RR
North Carolina(8/19/2024)
RR
Ohio(8/7/2023)
RR
Tennessee(12/1/2022)
RR
Texas(9/8/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GC
GUIDANCE CAPITAL, INC.
GUIDANCE CAPITAL, INC.
CRD#: 323541 / SEC#: 801-126764
RIA
Registered Investment Advisory firm - (10/21/2022 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2020 High Wickham Place Suite 200, Louisville, KY 40245
Mailing Address
Phone number
(502) 813-2100
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 572 |
| AUM (Assets Under Management) | $ 384,153,124 |
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
GUIDANCE CAPITAL, INC.
CRD#: 323541Louisville, KY 40245TRUST BUT VERIFY
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