Skip to main content
CFP Board LMAP Logo
Search Let's Make a Plan
Find a CFP® Professional
Please select a location from the dropdown.

By executing a search, I agree to Terms and Conditions for the Find a CERTIFIED FINANCIAL PLANNER™ Professional Search

Provided By CFP Board
Mr. Brian A. Guilliom

Mr. Brian A. Guilliom


(502) 829-9244
Contact This Planner
Contact Preference
Oops, something went wrong. Wait a moment and try again.

Thank you!

We've sent your request to this planner. You should hear from them shortly via your preferred contact method.

professional profile

Year CFP® Certification Received

Planning Services Offered

  • Education Planning
  • Retirement Planning
  • Investment Planning
  • Tax Planning
  • Comprehensive Financial Planning
  • Business Succession Planning
  • Estate Planning

Your Minimum Investable Assets

  • $100,000


  • English


CFP Board Public Disciplinary History

Effective Date: 5/7/2002

In November 2001, CFP Board issued Mr. Guilliom a public letter of admonition following its investigation of a 1998 customer complaint and an NASD letter of caution relating to questionable signatures Mr. Guilliom’s former employer found in some of his client files. Upon review, CFP Board found that Mr. Guilliom signed client signatures on several occasions, received a letter of caution from the NASD regarding those signatures, recommended an unauthorized transaction for a client’s retirement portfolio, engaged in the unauthorized use of the CFP marks for six months, and falsely attested on his Renewal Form that he had not been the subject of a self-regulatory organization inquiry, investigation or proceeding related to his professional conduct. In mitigation, CFP Board considered that Mr. Guilliom was cooperative, took full responsibility for his actions and did not benefit financially from them. In aggravation, CFP Board considered that Mr. Guilliom admitted to possibly signing client signatures on a number of other occasions.

Effective Date: 12/3/2008

In December 2008, following review by CFP Board’s Appeals Committee, CFP Board suspended Mr. Guilliom’s right to use the CFP® certification marks for two years. The Appeals Committee heard the appeal of an April 2008 decision by CFP Board’s Disciplinary and Ethics Commission (“Commission”) to issue Mr. Guilliom a two-year suspension. The Commission’s decision followed an investigation of a complaint filed against Mr. Guilliom by the Department of Financial Institutions for the State of Kentucky. The Commission found that Mr. Guilliom and his company violated the Kentucky Securities Act through improper loan arrangements with clients, including: 1) convincing a client to rollover her 401(k) retirement account to his company’s 401(k) plan, depositing the funds in his company’s general checking account, and arranging a loan to the client from funds in that checking account; and 2) convincing a client to use 401(k) retirement account funds to purchase a promissory note reflecting a loan Mr. Guilliom’s company made to a second client, then converting for his personal use funds received from loan repayments made by the second client before eventually depositing the funds in the first client’s IRA account. The Commission found that this conduct violated Rules 102, 103(d), 201, 202, 301, 302, 402, 403, 606(a), 606(b) and 607 of CFP Board’s Code of Ethics and Professional Responsibility and sanctioned Mr. Guilliom with a two-year suspension of his right to use the CFP® marks. Mr. Guilliom appealed the Commission’s decision, which was affirmed by CFP Board's Appeals Committee. Mr. Guilliom’s suspension is effective from December 3, 2008 to December 3, 2010.

Disclosure Under CFP Board’s Prior Bankruptcy Disclosure Procedures
Toggle Tooltip
Close Tooltip
Until June 30, 2020, CFP Board made public disclosures about CFP® professionals who had filed a personal or business bankruptcy. These were disclosures and not disciplinary actions or sanctions. These disclosures stay on CFP Board’s website for 10 years. There are more details below on this page.


Disclosure Information

CFP Board makes available information that a CFP® professional has provided about his or her practice. CFP Board also provides information about any CFP® professional that CFP Board has publicly disciplined or any professional who made a bankruptcy disclosure to CFP Board (more details about bankruptcy below). We cannot guarantee the information the CFP® professional has provided is accurate or complete. You should verify the accuracy of the information yourself.

While the information on this website may be useful to you, there may be more information from other sources you will need or want. Provided below are links to other sources of information about CFP® professionals that may be more recent or that may contain information that has not led to CFP Board discipline and does not appear on CFP Board’s website. The information may include customer disputes, disciplinary actions taken by a regulator or employer, certain criminal matters, and certain financial matters (such as bankruptcy proceedings and unpaid judgments or liens). The links provided below may provide additional information only if the CFP® professional is subject to the oversight of that regulator or SRO. If the CFP® professional is not subject to their oversight, then the link will not provide access to any additional information about that person.

  • You can find information about CFP® professionals who are subject to Financial Industry Regulatory Authority (FINRA) or Securities and Exchange Commission (SEC) oversight through FINRA’s BrokerCheck and the SEC’s Investment Adviser Public Disclosure databases. Both are free tools you can use to conduct research.
  • Visit your state securities regulator’s website for more information about brokers and investment advisers and your state insurance department website for more information about insurance professionals.
  • Visit the Office of the Comptroller of the Currency (OCC) website to search for enforcement actions against individuals who are subject to OCC oversight.
  • Conduct an Internet search on the CFP® professional’s name (and business name).

About Bankruptcies

Effective June 30, 2020, CFP Board may publicly sanction a CFP® professional for a personal or business bankruptcy that violates CFP Board’s Code of Ethics and Standards of Conduct. (There is no violation if the CFP® professional can make a case that the bankruptcy does not reflect on the professional’s ability to responsibly manage his or her own financial affairs or the financial affairs of the business.) You can find public sanctions in the “CFP Board Public Disciplinary History.” Under the “Prior Bankruptcy Disclosure Procedures” that applied from July 2012 – June 2020, CFP Board published information about a CFP® professional’s verified single bankruptcy in a press release and on CFP Board’s website. These were disclosures, not discipline or sanctions, and remain on CFP Board’s website for 10 years. You may learn more about the disclosure procedures here. You can learn more information about a bankruptcy filing at the U.S. Court’s website. You will be required to register and pay a nominal fee to view the information on that website.