Mindy E. Gasthalter

CW ADVISORS

WASHINGTON, DC

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CRD#: 1446745

Professional summary

Mindy Ellen Gasthalter, CFP® is a registered financial advisor currently at CW ADVISORS, LLC located in Washington, District Of Columbia.

Mindy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Mindy has worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Mindy Ellen Gasthalter'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®

CRD#: 14169

GLEN ALLEN, VA

Past

October 21, 1991 - May 22, 2001

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

July 15, 1991 - December 31, 1991

AMERICAN INVESTORS COMPANY

CRD#: 38

SAN RAMON, CA

Past

August 10, 1990 - March 21, 1991

KAVANAUGH SECURITIES, INC.

CRD#: 10606

DALLAS, TX

Past

January 7, 1986 - July 28, 1988

OGILVIE SECURITY ADVISORS CORPORATION

CRD#: 10105

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".

CW ADVISORS, LLC

CONGRESS WEALTH MANAGEMENT LLC | CW ADVISORS, LLC

CRD#: 310873 / SEC#: 801-119667

RIA

Registered Investment Advisory firm - (10/21/2020 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

District of Columbia
(10/26/2022)

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: 2/20/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/14/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/23/1997

General Securities Principal Examination

Current Firm

CW ADVISORS, LLC

CONGRESS WEALTH MANAGEMENT LLC | CW ADVISORS, LLC

CRD#: 310873 / SEC#: 801-119667

RIA

Registered Investment Advisory firm - (10/21/2020 Approved)

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Contact information

Main Address

155 Seaport Blvd 3rd Floor, Boston, MA 02210

Mailing Address

Phone number

(617) 428-7600

Established

Firm type

Fiscal year end

# of Employees

110

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CW ADVISORS ADV PART 2A (11/21/2025)

CW ADVISORS WRAP FEE PROGRAM (9/9/2025)

Regulatory assets under management

Total Number of Accounts	12,836
AUM (Assets Under Management)	$ 9,301,984,860

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/23/2025	Cover Page	Report
07/02/2024	Cover Page	Report
09/20/2023	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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Mindy E. Gasthalter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mindy Ellen Gasthalter's CRS (Customer Relationship Summary).

Certified licenses

Experience

CW ADVISORS, LLC

PINNACLE ADVISORY GROUP, INC.

FREED ADVISORS

ALEXANDRIA FINANCIAL ASSOCIATES, LTD.

CAPITOL SECURITIES MANAGEMENT, INC.

THE ADVISORS GROUP, INC.

AMERICAN INVESTORS COMPANY

KAVANAUGH SECURITIES, INC.

OGILVIE SECURITY ADVISORS CORPORATION

Primary Firm SEC Registration

CW ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/20/1986

Series 7

Date: 12/14/1985

Series 24

Date: 5/23/1997

Current Firm

CW ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CW ADVISORS, LLC

TRUST BUT VERIFY

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