Patricia A. Gutzler
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patricia Ann Gutzler, who also goes by Patricia Ann Baisch, Patricia Ann Wieseman, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2002. Patricia had worked at 3 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2013 - April 17, 2019
G.F. INVESTMENT SERVICES, LLC
August 12, 2003 - March 10, 2011
SCOTTRADE, INC.
June 3, 2002 - June 27, 2002
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 8/25/2006
Limited Representative-Equity Trader ExamCurrent Firm
G.F. INVESTMENT SERVICES, LLC
CRD#: 132939 / SEC#: , 8-66659
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
