Mark M. Gutrich

FI401K ADVISORS

GREENWOOD VILLAGE, CO 80111

CRD#: 2146126

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Professional summary

Mark Matthew Gutrich is a registered financial advisor currently at FI401K ADVISORS located in Greenwood Village, Colorado.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Mark has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 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 Mark Matthew 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

April 8, 2014 - Present

FI401K ADVISORS

Office #1: 6041 S Syracuse Way Suite 200, Greenwood Village, CO 80111

RIA

CRD#: 168408

GREENWOOD VILLAGE, CO

Past

July 18, 2000 - January 17, 2013

EPLAN ADVISORS, LLC

RIA

CRD#: 112504

DENVER, CO

Past

May 18, 1998 - May 26, 1999

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

Past

February 26, 1996 - March 12, 1998

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

August 21, 1995 - March 5, 1996

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 9, 1992 - July 6, 1995

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

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".

FI401K ADVISORS

FI401K ADVISORS | FI401K ADVISORS, LLC

CRD#: 168408 / SEC#: 801-107736

RIA

Registered Investment Advisory firm - (4/22/2016 Approved)

Colorado

Registered Investment Advisory firm - (5/10/2016 Terminated)

Illinois

Registered Investment Advisory firm - (4/22/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (5/2/2016 Terminated)

Ohio

Registered Investment Advisory firm - (4/26/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(4/22/2016)

IAR

Colorado
(4/8/2014)

IAR

Connecticut
(4/22/2016)

IAR

Florida
(4/7/2017)

IAR

Illinois
(4/22/2016)

IAR

Louisiana
(3/17/2017)

IAR

Maryland
(3/22/2018)

IAR

Massachusetts
(12/8/2017)

IAR

Michigan
(3/23/2018)

IAR

Minnesota
(4/22/2016)

IAR

New Jersey
(6/2/2016)

IAR

North Carolina
(4/7/2016)

IAR

Ohio
(4/6/2016)

IAR

Pennsylvania
(4/25/2016)

IAR

Texas
(4/27/2016)

IAR

Virginia
(5/2/2016)

IAR

Washington
(5/5/2016)

IAR

Wisconsin
(3/23/2018)

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: 3/31/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/14/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/7/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/22/1999

General Securities Principal Examination

Current Firm

FI401K ADVISORS

FI401K ADVISORS | FI401K ADVISORS, LLC

CRD#: 168408 / SEC#: 801-107736

RIA

Registered Investment Advisory firm - (4/22/2016 Approved)

Colorado

Registered Investment Advisory firm - (5/10/2016 Terminated)

Illinois

Registered Investment Advisory firm - (4/22/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (5/2/2016 Terminated)

Ohio

Registered Investment Advisory firm - (4/26/2016 Terminated)

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Contact information

Main Address

9137 East Mineral Circle Suite 210, Centennial, CO 80112

Mailing Address

Phone number

(303) 495-5890

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

FORM ADV - PART 2A & 2B - REVISED JAN 2025 (1/30/2026)

Regulatory assets under management

Total Number of Accounts	305
AUM (Assets Under Management)	$ 914,955,513

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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Advisor Monitoring

Firm Stability Insights

Mark M. Gutrich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Matthew Gutrich's CRS (Customer Relationship Summary).

Certified licenses

Experience

EPLAN ADVISORS, LLC

INVESTORS BROKERAGE SERVICES, INC.

CETERA ADVISORS LLC

LPL FINANCIAL LLC

INVESTORS BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

FI401K ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 3/31/1999

Series 63

Date: 12/6/1991

Series 7

Date: 12/14/1992

Series 6

Date: 1/7/1992

Series 24

Date: 3/22/1999

Current Firm

FI401K ADVISORS

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FI401K ADVISORS

TRUST BUT VERIFY

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