Unclaimed Profile

Carol Ho

GUIDELINE, INC.·SOLANA BEACH, California

Series 65Clean record10 years registeredGUIDELINE, INC.

330 S CEDROS AVENUE, SOLANA BEACH, CA 92075CRD# 6565419Firm CRD# 281515

Profile Verification

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

Identity

Carol Ho · SOLANA BEACH, CA

Registration

CRD #6565419 · GUIDELINE, INC. · 10 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: GUIDELINE, INC.

GUIDELINE, INC.

Nov 2015 – Jan 2022

SOLANA BEACH, CA

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · November 9, 2015

Years registered · 10

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

GUIDELINE, INC.

CRD 281515 · SEC 801-106732

AUM

$11.7B

Regulatory assets under management

Employees

644,684 client accounts

Services offered by GUIDELINE, INC.

Per Form ADV

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

View all advisors at GUIDELINE, INC. →

Introduction

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Frequently Asked Questions

What services does Carol Ho offer?

Carol Ho specializes in Investment Management, Fee-Only Advisory.

What are Carol Ho's credentials?

Carol Ho is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Carol Ho located?

Carol Ho is based in SOLANA BEACH, California, last registered with GUIDELINE, INC..

How does Carol Ho charge for services?

Carol Ho's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is GUIDELINE, INC.?

GUIDELINE, INC. has approximately 7 employees and manages $11.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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