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RK

Richard D. Kittelstad

Some features on this profile are disabled
CRD#: 1481253
RK

Professional summary

Richard Donald Kittelstad was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Richard had worked at 8 firms, which includes GUNNALLEN FINANCIAL INC, TUSCANY EQUITY MANAGEMENT CORPORATI0N, W.J. GALLAGHER & COMPANY INC., CHATFIELD DEAN & CO. INC., THE STUART-JAMES COMPANY INCORPORATED, CENPAC SECURITIES CORP., HAMILTON GRANT & COMPANY INC., NORBAY SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rich Kittelstad | Richie Kittelstad | Rick Kittelstad

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 4, 1997 - December 24, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

December 11, 1995 - March 14, 1997

TUSCANY EQUITY MANAGEMENT CORPORATI0N

BD
CRD#: 20016
DEERFIELD BEACH, FL
Past

September 21, 1995 - December 31, 1995

W.J. GALLAGHER & COMPANY, INC.

BD
CRD#: 11097
PASADENA, CA
Past

November 27, 1990 - July 25, 1995

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past

February 24, 1988 - December 3, 1990

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
Past

November 17, 1987 - February 26, 1988

CENPAC SECURITIES CORP.

BD
CRD#: 16089
Past

March 19, 1987 - December 3, 1990

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO
Past

October 30, 1986 - January 14, 1987

HAMILTON, GRANT & COMPANY, INC.

BD
CRD#: 15348
Past

September 26, 1986 - October 14, 1986

NORBAY SECURITIES INC.

BD
CRD#: 5431

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/30/1992
General Securities Principal Examination

Current Firm

GF
GUNNALLEN FINANCIAL, INC
GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

BD
Terminated by SEC on 06/11/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUNNALLEN HOLDINGS, INC.SHAREHOLDER
DANIELS, KEVIN CHRISTIANEVP OF TRADING, CHIEF COMPLIANCE OFFICER2041956
KRAUS, FREDERICK OSCAR JRPRESIDENT, CFO, FINOP1393886

Disclosures

Regulatory Event17
Arbitration13

Red Flags

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

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Company Information

GUNNALLEN FINANCIAL, INC

CRD#: 17609

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