GUARDIAN CAPITAL, LLC of WEXFORD, PA is an SEC-registered investment adviser (CRD 156015). Regulatory assets under management: $128.1M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Greg H Miller | MANAGING MEMBER | — |
| Carole Miller | OWNER | — |
| Benjamin Hayden Pearce | CHIEF COMPLIANCE OFFICER | — |
| MILLER JAMES H | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| MILLER CAROLE | OWNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-04-01 | regulatory | FIRM DID NOT ESTABLISH, IMPLEMENT AND MAINTAIN WRITTEN PROCEDURES RELATING TO A BUSINESS CONTINUITY OR SUCCESSION PLAN. | Final | $70K |
| — | civil | — | — | — |