Philip W. Guske

PATHFINDER ADVISORY

ROCKFORD, IL 61108

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CRD#: 1137474

Professional summary

Philip Warren Guske, who also goes by Phil Guske, is a registered financial advisor currently at PATHFINDER ADVISORY, INC. located in Rockford, Illinois.

Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Philip has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phil Guske

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.

Mr. Guske owns and operates Hallmark Properties of Rockford LLC, which is a commercial real-estate rental company that was started in 2005. The address is at 6981 Redansa Dr., Rockford, IL61108. He spends 2 hours a month, outside of securities trading hours on this business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Warren Guske's 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®

None

Experience

Current

February 26, 1998 - Present

PATHFINDER ADVISORY, INC.

Office #1: 6981 Redansa Dr, Rockford, IL 61108

RIA

CRD#: 122768

ROCKFORD, IL

Past

April 23, 1993 - January 20, 1997

NI SECURITIES CORP.

CRD#: 30444

AKRON, OH

Past

June 12, 1992 - April 23, 1993

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

May 17, 1985 - March 21, 1991

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

Illinois
(2/26/1998)

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

IAR

Series 65

Date: 12/9/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/16/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/12/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/16/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/8/1988

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PATHFINDER ADVISORY, INC.

PATHFINDER ADVISORY, INC. | PATHFINDER WEALTH MANAGEMENT, INC.

CRD#: 122768 / SEC#: 801-63573

RIA

Registered Investment Advisory firm - (2/22/2012 Terminated)

Illinois

Registered Investment Advisory firm - (9/29/2011 Approved)

Indiana

Registered Investment Advisory firm - (12/11/2024 Terminated)

Texas

Registered Investment Advisory firm - (12/16/2024 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (2/16/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

6981 Redansa Dr, Rockford, IL 61108

Mailing Address

Phone number

(815) 399-9806

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	334
AUM (Assets Under Management)	$ 97,064,596

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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Philip W. Guske

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Warren Guske's CRS (Customer Relationship Summary).

Certified licenses

Experience

PATHFINDER ADVISORY, INC.

NI SECURITIES CORP.

TRANSAMERICA FINANCIAL ADVISORS, LLC

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/1996

Series 63

Date: 5/16/1985

Series 7

Date: 8/12/1996

Series 6

Date: 5/16/1985

Series 26

Date: 6/8/1988

Current Firm

PATHFINDER ADVISORY, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PATHFINDER ADVISORY, INC.

TRUST BUT VERIFY

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