Klein S. Stubbs

GUIDANCE CAPITAL

LOUISVILLE, KY 40245

CRD#: 8034726

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Professional summary

Klein Stewart Stubbs is a registered financial advisor currently at GUIDANCE CAPITAL, INC. located in Louisville, Kentucky and DYNAMIC MARKET ADVANTAGE, LLC located in Louisville, Kentucky.

Klein is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. Klein has worked at 2 firms and has passed the Series 65 exam.

At a Glance

Always Fiduciary

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Klein Stewart Stubbs'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

February 3, 2025 - Present

GUIDANCE CAPITAL, INC.

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

RIA

CRD#: 323541

LOUISVILLE, KY

Current

February 3, 2025 - Present

DYNAMIC MARKET ADVANTAGE, LLC

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

RIA

CRD#: 323540

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
(2/3/2025)

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: 2/3/2025

Uniform Investment Adviser Law 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 (2/12/2026)

Regulatory assets under management

Total Number of Accounts	2,048
AUM (Assets Under Management)	$ 449,768,688

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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Klein S. Stubbs

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Klein Stewart Stubbs's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUIDANCE CAPITAL, INC.

DYNAMIC MARKET ADVANTAGE, LLC

Primary Firm SEC Registration

GUIDANCE CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/3/2025

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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