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Detailed Report
JACOB N. GUINN
JACOB NOLAN GUINN
CRD#: 4228149
IA
Investment Adviser
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Previous Broker
HFG WEALTH MANAGEMENT, LLCCRD#: 148406 1790 HUGHES LANDING BLVD
SUITE 575
THE WOODLANDS, TX 77380
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2001 (<1 year)2 FIRMS2018 - 2019 (1 year)2 FIRMS2020 - 2022 (2 years)IAHFG WEALTH MANAGEMENT, LLC (CRD# 148406)2022 - Present (2 years)BBBVA SECURITIES INC. (CRD# 27060)2013 - 2018 (5 years)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2010 - 2013 (3 years)BGUARANTY BROKERAGE SERVICES, INC. (CRD# 23302)2001 - 2009 (8 years)BCAPITAL BROKERAGE CORPORATION (CRD# 10465)2001 - 2001 (<1 year)IABBVA WEALTH SOLUTIONS INC. (CRD# 110476)2014 - 2018 (4 years)
Disclosure(s)
View By:
2/10/2017
Customer Dispute
Denied
License(s)

State Registrations

IA
Texas 5/6/2022
Current Registration(s)
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HFG WEALTH MANAGEMENT, LLC (CRD#:148406)
1790 HUGHES LANDING BLVD SUITE 575, THE WOODLANDS, TX 77380
Registered with this firm since 5/6/2022
Previous Registration(s)
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 01/07/2020 - 04/14/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) HOUSTON, TX
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 01/07/2020 - 04/14/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) HOUSTON, TX
IA
 12/18/2018 - 12/26/2019 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
B
 12/17/2018 - 12/26/2019 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
IA
 01/27/2014 - 09/14/2018 BBVA WEALTH SOLUTIONS INC. (CRD#:110476) HUNTSVILLE, TX
B
 05/16/2013 - 09/14/2018 BBVA SECURITIES INC. (CRD#:27060) SPRING, TX
B
 04/01/2010 - 05/16/2013 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) CONROE, TX
B
 07/30/2001 - 12/23/2009 GUARANTY BROKERAGE SERVICES, INC. (CRD#:23302) CONROE, TX
B
 04/09/2001 - 07/30/2001 CAPITAL BROKERAGE CORPORATION (CRD#:10465) GLEN ALLEN, VA
B
 07/14/2000 - 01/12/2001 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 07/14/2000 - 01/12/2001 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.