Rand R. Guffey

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CRD#: 722996

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Rand Roger Guffey, who also goes by Randy Guffey, was a registered financial professional .

Rand is a previously registered financial professional and started their career in finance in 1981. Rand had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Randy Guffey

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 24, 2014 - October 22, 2015

MONECO ADVISORS

RIA

CRD#: 171922

FAIRFIELD, CT

Past

December 17, 2010 - April 24, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

FAIRFIELD, CT

Past

December 17, 2010 - April 24, 2015

LPL FINANCIAL LLC

CRD#: 6413

FAIRFIELD, CT

Past

November 16, 2004 - June 27, 2006

HAYDEN FINANCIAL GROUP, LLC

RIA

CRD#: 117346

WESTPORT, CT

Past

December 8, 2003 - December 22, 2010

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

RIDGEFIELD, CT

Past

December 3, 2003 - December 22, 2010

CETERA WEALTH SERVICES, LLC

CRD#: 13572

RIDGEFIELD, CT

Past

October 15, 1990 - December 5, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

December 17, 1985 - August 21, 1990

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

January 19, 1981 - January 4, 1982

INVESTMENT SEARCH, INC.

CRD#: 7644

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".

MONECO ADVISORS

CRD#: 171922 / SEC#: 801-80027

RIA

Registered Investment Advisory firm - (7/14/2014 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/8/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/24/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/24/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/29/2005

General Securities Principal Examination

Current Firm

MONECO ADVISORS

CRD#: 171922 / SEC#: 801-80027

RIA

Registered Investment Advisory firm - (7/14/2014 Approved)

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Contact information

Main Address

2150 Post Road, Suite 201, Fairfield, CT 06824

Mailing Address

Phone number

(203) 319-3550

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A: FIRM BROCHURE (8/18/2025)

WRAP PROGRAM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	6,130
AUM (Assets Under Management)	$ 1,915,081,746

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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Advisor Monitoring

Firm Stability Insights

Rand R. Guffey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

HAYDEN FINANCIAL GROUP, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VERAVEST INVESTMENTS, INC.

THOMSON MCKINNON SECURITIES INC.

INVESTMENT SEARCH, INC.

Primary Firm SEC Registration

MONECO ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/8/1995

Series 63

Date: 2/24/1986

SIE

Date: 4/24/2015

Series 7

Date: 12/14/1985

Series 24

Date: 9/29/2005

Current Firm

MONECO ADVISORS

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MONECO ADVISORS

TRUST BUT VERIFY

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