Unclaimed Profile

Stephen Warner Guinn

REGENCY INVESTMENT ADVISORS INC·FRESNO, California

Series 7, Series 24, Series 63Clean record28 years registeredREGENCY INVESTMENT ADVISORS INC

1312 W HERNDON, SUITE 101, FRESNO, CA 93711CRD# 2201575Firm CRD# 106990

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Stephen Warner Guinn · FRESNO, CA

Registration

CRD #2201575 · REGENCY INVESTMENT ADVISORS INC · 28 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: REGENCY INVESTMENT ADVISORS INC

REGENCY INVESTMENT ADVISORS INC

Jul 1998 – Nov 2022

FRESNO, CA

Registrations & Exams

FINRA examinations passed

Series 7

Series 24

Series 63

Registration record

First registered · July 23, 1998

Years registered · 28

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

REGENCY INVESTMENT ADVISORS INC

CRD 106990 · SEC 801-44406

AUM

$877M

Regulatory assets under management

Employees

1,752 client accounts

Services offered by REGENCY INVESTMENT ADVISORS INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at REGENCY INVESTMENT ADVISORS INC →

Introduction

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Frequently Asked Questions

What services does Stephen Warner Guinn offer?

Stephen Warner Guinn specializes in Financial Planning, Investment Management, Wealth Management.

What are Stephen Warner Guinn's credentials?

Stephen Warner Guinn is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stephen Warner Guinn located?

Stephen Warner Guinn is based in FRESNO, California, last registered with REGENCY INVESTMENT ADVISORS INC.

How does Stephen Warner Guinn charge for services?

Stephen Warner Guinn's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is REGENCY INVESTMENT ADVISORS INC?

REGENCY INVESTMENT ADVISORS INC has approximately 14 employees and manages $877M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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