Jeffrey R. Guindon

CARRIAGE HILL INVESTMENT ASSOCIATES LLC

Lancaster, PA 17601

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CRD#: 5578137

Professional summary

Jeffrey Richard Guindon is a registered financial advisor currently at CARRIAGE HILL INVESTMENT ASSOCIATES LLC located in Lancaster, Pennsylvania.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Jeffrey has worked at 4 firms and has passed the Series 66, SIE 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.

2) Lancaster County Community Foundation; Investment-related; 24 W. King St., Lancaster, PA 17603; Member of the Board, Investment Committee, and chairs; 03/2022; 2hrs/1hrs; Provide input on defining and achieving organizational goals.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Richard Guindon'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®

None

Experience

Current

June 27, 2019 - Present

CARRIAGE HILL INVESTMENT ASSOCIATES LLC

Office #1: 1689 Crown Ave. Suite 1, Lancaster, PA 17601

RIA

CRD#: 304487

Lancaster, PA

Past

December 7, 2016 - September 12, 2019

RKL PRIVATE WEALTH

RIA

CRD#: 122693

LANCASTER, PA

Past

December 17, 2015 - December 8, 2016

DOMANI WEALTH, LLC

RIA

CRD#: 174303

LANCASTER, PA

Past

January 17, 2013 - December 7, 2015

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

LANCASTER, PA

Past

August 25, 2009 - December 7, 2015

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

LANCASTER, PA

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

Pennsylvania
(6/27/2019)

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 66

Date: 8/9/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/7/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/2009

General Securities Representative Examination

Current Firm

CARRIAGE HILL INVESTMENT ASSOCIATES LLC

CRD#: 304487 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (6/27/2019 Approved)

Texas

Registered Investment Advisory firm - (11/30/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1689 Crown Ave. Suite 1, Lancaster, PA 17601

Mailing Address

Phone number

(717) 431-2025

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	319
AUM (Assets Under Management)	$ 41,309,814

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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Jeffrey R. Guindon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Richard Guindon's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARRIAGE HILL INVESTMENT ASSOCIATES LLC

RKL PRIVATE WEALTH

DOMANI WEALTH, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

State Registrations and Notice Filings

Exams

Series 66

Date: 8/9/2012

SIE

Date: 12/7/2015

Series 7

Date: 8/24/2009

Current Firm

CARRIAGE HILL INVESTMENT ASSOCIATES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CARRIAGE HILL INVESTMENT ASSOCIATES LLC

TRUST BUT VERIFY

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