Francis M. Gutrich

APOLLON FINANCIAL

Downers Grove, IL 60515

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CRD#: 1628258

Professional summary

Francis Michael Gutrich, who also goes by Francis M Gutrich, is a registered financial advisor currently at APOLLON FINANCIAL, LLC located in Downers Grove, Illinois.

Francis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Francis has worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Francis M Gutrich

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. 01/06/2017 - NON-VARIABLE INSURANCE - Investment Related - At Reported Business Location(s) - Time Spent 5% 2. 10/15/2024 - Apollon Financial LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 10/01/2024 - 160 Hours Per Month/ During Trading - I provide investment advisory services through Apollon Financial LLC, an independent investment advisor firm. I started this business activity in 10/2024. I expect to spend approximately 160 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 service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Michael Gutrich'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®

None

Experience

Current

September 24, 2024 - Present

APOLLON FINANCIAL, LLC

Office #1: 2001 Butterfield Road Suite 800, Downers Grove, IL 60515

RIA

CRD#: 321217

Downers Grove, IL

Past

December 8, 2021 - October 2, 2024

HIGHPOINT PLANNING PARTNERS

RIA

CRD#: 316636

ORLAND PARK, IL

Past

January 6, 2017 - December 31, 2021

HIGHPOINT PLANNING PARTNERS

RIA

CRD#: 163768

Orland Park, IL

Past

January 6, 2017 - August 27, 2025

LPL FINANCIAL LLC

CRD#: 6413

DOWNERS GROVE, IL

Past

October 1, 2012 - January 25, 2017

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

ORLAND PARK, IL

Past

October 1, 2012 - January 25, 2017

J.P. MORGAN SECURITIES LLC

CRD#: 79

ORLAND PARK, IL

Past

January 1, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

FRANKFORT, IL

Past

July 6, 2005 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

FRANKFORT, IL

Past

February 1, 1999 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

February 5, 1997 - February 1, 1999

WINGSPAN INVESTMENT SERVICES

CRD#: 17516

CHICAGO, IL

Past

July 1, 1996 - January 14, 1997

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

August 8, 1994 - November 19, 1996

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

April 18, 1989 - August 15, 1994

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

April 18, 1989 - August 15, 1994

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

October 31, 1988 - February 23, 1989

ALLIED CAPITAL GROUP, INC.

CRD#: 13146

Past

June 8, 1988 - November 3, 1988

GRAYSTONE NASH, INC.

CRD#: 10635

Past

April 29, 1987 - May 20, 1988

JOSEPH P. MCGIVNEY AND ASSOCIATES, INC.

CRD#: 2725

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".

APOLLON FINANCIAL, LLC

APOLLON FINANCIAL, LLC | FOXEN FINANCIAL AN AFFILIATE OF APOLLON FINANCIAL

CRD#: 321217 / SEC#: 801-125787

RIA

Registered Investment Advisory firm - (6/2/2022 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

Illinois
(9/24/2024)

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: 12/30/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/6/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/1987

General Securities Representative Examination

Current Firm

APOLLON FINANCIAL, LLC

APOLLON FINANCIAL, LLC | FOXEN FINANCIAL AN AFFILIATE OF APOLLON FINANCIAL

CRD#: 321217 / SEC#: 801-125787

RIA

Registered Investment Advisory firm - (6/2/2022 Approved)

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Contact information

Main Address

111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464

Mailing Address

Phone number

(843) 579-0018

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APOLLON FINANCIAL WRAP FEE BROCHURE (9/17/2025)

APOLLON FINANCIAL ADV PART 2A DISCLOSURE BROCHURE (9/17/2025)

Regulatory assets under management

Total Number of Accounts	1,700
AUM (Assets Under Management)	$ 890,408,924

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Francis M. Gutrich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Michael Gutrich's CRS (Customer Relationship Summary).

Certified licenses

Experience

HIGHPOINT PLANNING PARTNERS

HIGHPOINT PLANNING PARTNERS

LPL FINANCIAL LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

WINGSPAN INVESTMENT SERVICES

IFMG SECURITIES, INC.

CAPITAL BROKERAGE CORPORATION

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

ALLIED CAPITAL GROUP, INC.

GRAYSTONE NASH, INC.

JOSEPH P. MCGIVNEY AND ASSOCIATES, INC.

Primary Firm SEC Registration

APOLLON FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/2010

Series 63

Date: 9/6/1988

SIE

Date: 10/1/2018

Series 7

Date: 4/25/1987

Current Firm

APOLLON FINANCIAL, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APOLLON FINANCIAL, LLC

TRUST BUT VERIFY

Contact information

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