KG
Keith R. Gunther
LEGACY INVESTMENT STRATEGIES
La Palma, CA 90623-2537
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CRD#: 1533552
KG
Professional summary
Keith Ryan Gunther is a registered financial advisor currently at LEGACY INVESTMENT STRATEGIES, LLC located in La Palma, California and LPL FINANCIAL LLC located in La Palma, California.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Keith has worked at 5 firms and has passed the Series 65, Series 63, SIE, 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.
(1) 05/01/2024 - MGM Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 07/01/2002 (2) 05/01/2024 - TAX PREPARATION BUSINESS - MGM Financial Group - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 01/01/1978 - 80 Hours Per Month/ 20 Hours During Trading (3) 05/01/2024 - KEITH GUNTHER & ASSOCIATES, INC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 05/01/1986 (4) 05/01/2024 - MGM Financial Group OC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 09/24/2018 - 1 Hour Per Month (5) 05/07/2024 - Legacy Investment Strategies, LLC - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 05/01/2024 - 5 Hours Per Month/ 100 Hours During Trading - I provide investment advisory services through Legacy Investment Strategies LLC, an independent investment advisor firm. I started this business activity in 5/2024. I expect to spend approximately 5 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Ryan Gunther'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®
NoneExperience
Current
May 28, 2024 - Present
LEGACY INVESTMENT STRATEGIES, LLC
Office #1: 6 Centerpointe Dr Ste 780, La Palma, CA 90623-2537RIA
CRD#: 117423
La Palma, CA
Current
May 1, 2024 - Present
LPL FINANCIAL LLC
Office #1: 6 Centerpointe Dr Ste. 700, La Palma, CA 90623RIA
BD
CRD#: 6413
La Palma, CA
Past
September 7, 2007 - April 30, 2024
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
LA PALMA, CA
Past
August 24, 1999 - May 1, 2024
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
LA PALMA, CA
Past
March 31, 1999 - August 20, 1999
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
July 23, 1986 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/1/2024)
RR
California(5/1/2024)
IAR
California(5/28/2024)
RR
Georgia(11/28/2024)
RR
Idaho(5/1/2024)
RR
Maryland(7/31/2024)
RR
Minnesota(5/1/2024)
RR
New Mexico(5/1/2024)
RR
Oregon(5/1/2024)
RR
Tennessee(7/31/2024)
RR
Texas(8/26/2024)
RR
Virginia(8/17/2024)
RR
Washington(5/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LI
LEGACY INVESTMENT STRATEGIES, LLC
I2 ADVISORS | OLSEN, JAMES WILLIAM | OLSEN & GUIDRY, LLC | MGM FINANCIAL GROUP | MGM FINANCIAL | LEGACY INVESTMENT STRATEGIES, LLC | LEGACY INVESTMENT STRATEGIES, L.L.C. | LEGACY INVESTMENT STRATEGIES | JAMES W. OLSEN, CFP AND ASSOCIATES | INTEGRA WEALTH MANAGEMENT
CRD#: 117423 / SEC#:
California
Registered Investment Advisory firm - (5/28/2024 Approved)Louisiana
Registered Investment Advisory firm - (2/1/2002 Approved)Maryland
Registered Investment Advisory firm - (4/3/2024 Approved)Michigan
Registered Investment Advisory firm - (5/1/2025 Terminated)Texas
Registered Investment Advisory firm - (5/18/2016 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3445 N Causeway Blvd Suite 905, Metairie, LA 70002
Mailing Address
Phone number
(504) 361-7788
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 359 |
| AUM (Assets Under Management) | $ 103,939,545 |
Red Flags
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