AG
Amel J. Guigli
CAPITAL FINANCIAL GROUP
GREENWOOD VILLAGE, CO 80111
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CRD#: 715323
AG
Professional summary
Amel John Guigli, who also goes by A John Guigli, is a registered financial advisor currently at CAPITAL FINANCIAL GROUP, INC. located in Greenwood Village, Colorado.
Amel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Amel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
A John Guigli
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.
Amel Guigli is an independent licensed insurance agent, and from time to time, will offer clients advice or products from those activities. Clients should be aware that these services pay a commission or other compensation and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment advisor. CFG always acts in the best interest of the client; including the sale of commissionable products to advisory clients. Clients are in no way required to utilize the services of any representative of CFG in connection with such individual's activities outside of CFG. Amel Guigli currently offers non-variable insurance products through One Insurance Solutions for RIAs by Producer's Choice Network. Producer's Choice Network is an Independent Marketing Organization and provides licensing and servicing to investment advisor representatives. One Insurance Solutions for RIAs by Producer's Choice Network provides annuity, long-term care and life insurance products through various insurance carriers.
CRS (Client Relationship Summary) - RIA
Click below to view Amel John Guigli'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
January 1, 1999 - Present
CAPITAL FINANCIAL GROUP, INC.
Office #1: 8400 E. Prentice Ave., Suite 1100, Greenwood Village, CO 80111RIA
CRD#: 111709
GREENWOOD VILLAGE, CO
Past
June 25, 1998 - October 13, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
GREENWOOD VILLAGE, CO
Past
April 4, 1997 - July 16, 1998
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
January 3, 1994 - April 4, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
March 23, 1990 - December 31, 1993
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
June 20, 1985 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
KANSAS CITY, MO
Past
September 23, 1980 - June 7, 1985
CONSOLIDATED INVESTMENT SERVICES, INC.
BD
CRD#: 7929
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".
CF
CAPITAL FINANCIAL GROUP, INC.
CAPITAL FINANCIAL GROUP, INC.
CRD#: 111709 / SEC#: 801-117272
RIA
Registered Investment Advisory firm - (8/28/2019 Approved)Colorado
Registered Investment Advisory firm - (9/24/2019 Terminated)Texas
Registered Investment Advisory firm - (10/28/2016 Terminated)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
Colorado(1/1/1999)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/10/1980
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/14/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CF
CAPITAL FINANCIAL GROUP, INC.
CAPITAL FINANCIAL GROUP, INC.
CRD#: 111709 / SEC#: 801-117272
RIA
Registered Investment Advisory firm - (8/28/2019 Approved)Colorado
Registered Investment Advisory firm - (9/24/2019 Terminated)Texas
Registered Investment Advisory firm - (10/28/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8400 E. Prentice Ave., Suite 1100, Greenwood Village, CO 80111-2926
Mailing Address
Phone number
(303) 629-7500
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 655 |
| AUM (Assets Under Management) | $ 204,720,315 |
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.
