Kim P. Gouker
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.
Kim Patrick Gouker was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1985. Kim had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 25, 2017 - September 16, 2019
FIRST ASSET FINANCIAL INC.
January 12, 2012 - December 31, 2015
FIRST ASSET FINANCIAL INC.
November 25, 1987 - December 31, 2011
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
March 15, 1985 - December 21, 1987
MML INVESTORS SERVICES, 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
Current Firm
FIRST ASSET FINANCIAL INC.
CRD#: 139107 / SEC#: , 8-67191
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 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.
