BH
Beau J. Handy
GUIDANCE CAPITAL
Louisville, KY 40245
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CRD#: 6015760
BH
Professional summary
Beau Justin Handy, CFP®, who also goes by Beau J Handy, is a registered financial advisor currently at GUIDANCE CAPITAL, INC. located in Louisville, Kentucky and DMLO WEALTH PLANNING, LLC located in Louisville, Kentucky.
Beau is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Beau has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Beau J Handy
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) Heuser Hearing Institute and Learning Academy. 117 E Kentucky St, Louisville, KY 40203. Provides medical and learning resources to deaf and hard-of-hearing patients. As a member of the executive board, I oversee high level business operations in conjunction with the greater board and take report from CEO. 5 hrs/mo; 5 during trading hrs. 2) Dynamic Market Advantage, LLC. 2020 High Wickham Place, Suite 200, Louisville, KY 40245. President. 50 hrs/mo; 50 during trading hrs. 3) B. Handy Consulting, LLC. 9114 Geneva Circle, Prospect, KY 40059. Business consulting services. President-provide consulting services for business operations. 50 hrs/mo; 50 during trading hrs. 4) Guidance Capital, Inc. 2020 High Wickham Place, Suite 200, Louisville, KY 40245. Managing Partner. 170 hrs/mo; 170 during trading hrs. 5) 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 the clients of DMLO Wealth Planning, LLC. 20 hrs/mo; 18 during trading hrs. 6) DMLO Wealth Planning. 2020 High Wickham Place, Ste 200, Louisville, KY 40245. Director and financial advisor. 20 hrs/mo18 during trading hrs. 7)The Handy Family Foundation DBA The ActsOf Foundation; Not investment-related; 2020 High Wickham Place, Suite 200, Louisville, KY 40245; Organize personal charitable intentions; Executive Director; Oct 2, 2024; Less than 5 hours; Less than 5 hours; As executive director and chairman of the board, my duties are to execute on the foundation's mission by way of providing access to education, healthcare, disaster relief support among other through charitable investments. 8) Access Justice; Not investment-related; 521 N 26th St, Louisville, KY 40212; Non-profit Legal Council; Board Member; Nov 7, 2024; <5 hours/month; <5 hours; As a board member I serve to oversee the execution of organization mission by the leadership team of Access Justice.
CRS (Client Relationship Summary) - RIA
Click below to view Beau Justin Handy'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®
Experience
Current
October 28, 2022 - Present
GUIDANCE CAPITAL, INC.
Office #1: 2020 High Wickham Place Suite 200, Louisville, KY 40245RIA
CRD#: 323541
Louisville, KY
Current
June 2, 2023 - Present
DMLO WEALTH PLANNING, LLC
Office #1: 2020 High Wickham Place Suite 200, Louisville, KY 40245RIA
CRD#: 316202
Louisville, KY
Current
September 10, 2023 - Present
DYNAMIC MARKET ADVANTAGE, LLC
Office #1: 2020 High Wickham Place Suite 200, Louisville, KY 40245RIA
CRD#: 323540
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 7, 2012 - December 16, 2022
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
Louisville, KY
Past
February 2, 2012 - December 16, 2022
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
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(12/1/2022)
RR
Arizona(12/1/2022)
RR
Arkansas(12/1/2022)
RR
California(9/13/2023)
RR
Colorado(12/1/2022)
RR
Florida(12/1/2022)
RR
Georgia(12/1/2022)
RR
Illinois(12/1/2022)
RR
Indiana(12/1/2022)
IAR
Kentucky(10/28/2022)
RR
Kentucky(12/1/2022)
RR
Maine(12/1/2022)
RR
Maryland(12/1/2022)
RR
Michigan(12/1/2022)
RR
Minnesota(12/1/2022)
RR
New Hampshire(12/1/2022)
RR
New Jersey(12/1/2022)
RR
New York(12/1/2022)
RR
North Carolina(12/1/2022)
RR
Ohio(12/1/2022)
RR
Pennsylvania(12/1/2022)
RR
South Carolina(12/1/2022)
RR
Tennessee(12/1/2022)
RR
Texas(12/1/2022)
IAR
Texas(9/11/2023)
RR
Virginia(12/1/2022)
RR
West Virginia(12/1/2022)
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
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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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