Carl F. Von Dem Bussche (sr)
FINANCIAL GUIDANCE GROUP
Palm Harbor, FL
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CRD#: 843581
Professional summary
Carl Frederick Von Dem Bussche (sr) SR., AIF®, CFP®, who also goes by Carl Frederick Von Dem Bussche Sr, Carl Frederick Von Dem Bussche, Carl Frederick Vondembussche Sr, is a registered financial advisor currently at FINANCIAL GUIDANCE GROUP, INC. located in Palm Harbor, Florida.
Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Carl has worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.
Biography
As the Founder & Chairman of Financial Guidance Group, Carl takes his role as a fiduciary fee-only Advisor seriously by providing unbiased wealth planning and investment management advice. Helping people attain and manage their financial goals is Carl’s passion and mission. Navigating the complexities of the financial markets can be a daunting task to most people. That’s why having a knowledgeable professional on your side that has no industry or product affiliations will assure you of getting objective financial advice. Carl helps his clients avoid major financial mistakes by simplifying and organizing their financial lives and providing them peace of mind through the professional management of their finances.
Carl has more than 45+ years of experience in the wealth planning and investment management field. He has been a fee-only planner since 1995, one of the first in the Tampa Bay area. He believes there are inherent conflicts of interest when a planner stands to gain financially from the products he recommends. Caveat emptor (buyer beware) Advisors calling themselves fee-based can receive fees paid by you, commissions, or revenue sharing arrangements on the products they sell.
Carl has received numerous prestigious industry designations. They include CERTIFIED FINANCIAL PLANNER™ (CFP®) professional, from the College for Financial Planning in Denver, Colorado; Accredited Investment Fiduciary® (AIF®), from the Center for Fiduciary Studies, Joseph M. Katz Graduate School of Business, University of Pittsburgh. These designations required meeting stringent education, examination, and experience requirements. Keeping the designations demands adhering to a strict code of ethics and maintaining a vigorous program of ongoing continuing education. He is also a graduate of St. Petersburg College with an A.A. degree in business.
Other financial professionals rely on Carl’s knowledge and experience. He has served as an expert witness in financial mediations and has acted as an industry arbitrator for the Financial Industry Regulatory Authority (FINRA). He also works closely with several local certified public accounting firms, providing financial advice and investment management expertise to their clientele.
Carl and his family are life-long residents of the Tampa Bay area. When he is not working, Carl enjoys spending time with his wife of 49 years, Cindy, their grandchildren Aubrey Mae, Adelie Kate, Jakob Axel, Jaxen Isaak, Alice Adele and Grand dogs Ruby and Gigi.
Question & Answer
What are your service offerings?
Insurance Planning
Estate Planning
Investment Planning
Employee and Employer Plan Ben...
Budgeting
Comprehensive Financial Planni...
Tax Planning
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Carl Frederick Von Dem Bussche Sr | Carl Frederick Von Dem Bussche | Carl Frederick Vondembussche Sr
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.
CRS (Client Relationship Summary) - RIA
Click below to view Carl Frederick Von Dem Bussche (sr) SR.'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®
CFP®
Start date: 1989
Experience
Current
October 13, 1993 - Present
FINANCIAL GUIDANCE GROUP, INC.
Office #2: 508 S. Margin Street, Franklin, TN 37064RIA
CRD#: 108799
Palm Harbor, FL
Past
July 30, 1994 - August 28, 1995
MCC SECURITIES, INC.
BD
CRD#: 36286
TAMPA, FL
Past
May 10, 1993 - July 27, 1994
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
January 22, 1991 - May 27, 1993
FOUNTAINHEAD FINANCIAL, INC.
BD
CRD#: 19990
OAK BROOK, IL
Past
October 17, 1986 - December 31, 1990
INLAND SECURITIES CORPORATION
BD
CRD#: 15807
OAK BROOK, IL
Past
January 26, 1984 - September 19, 1986
CAPITAL ASSET SECURITIES, INC.
BD
CRD#: 14474
Past
May 24, 1982 - January 13, 1984
FIRST PARK EQUITIES, INC.
BD
CRD#: 5269
Past
June 26, 1980 - May 28, 1982
WZW FINANCIAL SERVICES, INC.
BD
CRD#: 5717
Past
April 18, 1979 - July 13, 1980
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Past
February 16, 1979 - May 4, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BD
CRD#: 640
Past
October 3, 1977 - March 14, 1979
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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".
FINANCIAL GUIDANCE GROUP, INC.
FINANCIAL GUIDANCE GROUP | FINANCIAL GUIDANCE GROUP, INC. | FINANCIAL GUIDANCE GROUP INC
CRD#: 108799 / SEC#: 801-80958
RIA
Registered Investment Advisory firm - (2/6/2015 Approved)California
Registered Investment Advisory firm - (3/7/2015 Terminated)Florida
Registered Investment Advisory firm - (2/11/2015 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
Florida(10/13/1993)
IAR
Tennessee(6/23/2016)
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
FINANCIAL GUIDANCE GROUP, INC.
FINANCIAL GUIDANCE GROUP | FINANCIAL GUIDANCE GROUP, INC. | FINANCIAL GUIDANCE GROUP INC
CRD#: 108799 / SEC#: 801-80958
RIA
Registered Investment Advisory firm - (2/6/2015 Approved)California
Registered Investment Advisory firm - (3/7/2015 Terminated)Florida
Registered Investment Advisory firm - (2/11/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Palm Harbor, FL
Mailing Address
Phone number
(727) 787-7526
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 785 |
| AUM (Assets Under Management) | $ 214,263,751 |
Red Flags
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Company Information
FINANCIAL GUIDANCE GROUP, INC.
CRD#: 108799Palm Harbor, FLTRUST BUT VERIFY
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Contact information
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