Rick B. Gutman

FORVIS MAZARS WEALTH ADVISORS

Omaha, NE 68124

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CRD#: 1018107

Professional summary

Rick Bernard Gutman, CFP®, who also goes by Rick B. Gutman, Rick Gutman, Ricky Bernard Gutman, is a registered financial advisor currently at FORVIS MAZARS WEALTH ADVISORS, LLC located in Omaha, Nebraska.

Rick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Rick has worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick B. Gutman | Rick Gutman | Ricky Bernard Gutman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rick Bernard Gutman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Current

October 7, 2002 - Present

FORVIS MAZARS WEALTH ADVISORS, LLC

Office #1: 1120 S. 101st Street Suite 410, Omaha, NE 68124Office #2: 211 N. Broadway Suite 600, St. Louis, MO 63102Office #3: 1201 Walnut Street, Suite 1700, Kansas City, MO 64106Office #4: 1551 N. Waterfront Parkway Suite 300, Wichita, KS 67206Office #5: 1401 50th Street Suite 350, West Des Moines, IA 50266Office #6: 1248 O Street Suite 1100, Lincoln, NE 68508

RIA

CRD#: 110905

Omaha, NE

Past

September 3, 1986 - June 7, 1988

IAC SECURITIES, INC.

CRD#: 14081

Past

November 21, 1984 - July 24, 1986

USLIFE EQUITY SALES CORP.

CRD#: 7962

Past

March 30, 1982 - September 6, 1983

FINANCIAL PLANNING CONSULTANTS, INC.

CRD#: 8541

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FORVIS MAZARS WEALTH ADVISORS, LLC

CRD#: 110905 / SEC#: 801-56928

RIA

Registered Investment Advisory firm - (10/28/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Iowa
(1/3/2024)

IAR

Kansas
(1/9/2025)

IAR

Missouri
(1/3/2024)

IAR

Nebraska
(1/3/2024)

IAR

Texas
(1/3/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/22/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/20/1982

General Securities Representative Examination

Current Firm

FORVIS MAZARS WEALTH ADVISORS, LLC

CRD#: 110905 / SEC#: 801-56928

RIA

Registered Investment Advisory firm - (10/28/1999 Approved)

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Contact information

Main Address

910 East St Louis St, Springfield, MO 65806

Mailing Address

Phone number

(417) 831-7283

Established

Firm type

Fiscal year end

# of Employees

123

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A 082025 (8/20/2025)

Regulatory assets under management

Total Number of Accounts	13,227
AUM (Assets Under Management)	$ 9,751,986,659

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/18/2025	Cover Page	Report
09/18/2024	Cover Page	Report
01/23/2024	Cover Page	Report
11/21/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Rick B. Gutman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rick Bernard Gutman's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORVIS MAZARS WEALTH ADVISORS, LLC

IAC SECURITIES, INC.

USLIFE EQUITY SALES CORP.

FINANCIAL PLANNING CONSULTANTS, INC.

Primary Firm SEC Registration

FORVIS MAZARS WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/22/1982

Series 7

Date: 3/20/1982

Current Firm

FORVIS MAZARS WEALTH ADVISORS, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FORVIS MAZARS WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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