William S. Alsup

GUIDANCE CAPITAL

Louisville, KY 40245

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CRD#: 7560580

Professional summary

William Seth Stefan Alsup is a registered financial advisor currently at GUIDANCE CAPITAL, INC. located in Louisville, Kentucky.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. William has worked at 1 firm and has passed the Series 65 and SIE 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.

Licensed insurance professional; non-investment-related; same address; less than 10% of time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Seth Stefan Alsup's CRS (Customer Relationship Summary).

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

October 28, 2022 - Present

GUIDANCE CAPITAL, INC.

Office #1: 2020 High Wickham Place Suite 200, Louisville, KY 40245

RIA

CRD#: 323541

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".

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.

Highlighted states indicate IAR registrations

IAR

Kentucky
(10/28/2022)

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: 10/2/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 3/31/2022

Securities Industry Essentials Examination

Current Firm

GUIDANCE CAPITAL, INC.

CRD#: 323541 / SEC#: 801-126764

RIA

Registered Investment Advisory firm - (10/21/2022 Approved)

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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

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUIDANCE CAPITAL - ADV PART 2A BROCHURE (6/13/2025)

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.

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William S. Alsup

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Seth Stefan Alsup's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUIDANCE CAPITAL, INC.

Primary Firm SEC Registration

GUIDANCE CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/2021

SIE

Date: 3/31/2022

Current Firm

GUIDANCE CAPITAL, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUIDANCE CAPITAL, INC.

TRUST BUT VERIFY

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