MG
Mark M. Gutrich
FI401K ADVISORS
GREENWOOD VILLAGE, CO 80111
Some features on this profile are disabled
CRD#: 2146126
MG
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.
1. GUT-CROSS HOLDINGS, LLC:
- 6041 S. SYRACUSE WAY, STE 200
- GREENWOOD VILLAGE, CO 80111
- PERSONAL INVESTMENT HOLDINGS
- MANAGING MEMBER
- MAY 2010
- 4-8 HOURS/QUARTER (NOT DURING TRADING HOURS)
- NO FORMAL DUTIES - PASSIVE INVESTMENTS
2. GUT-SEC HOLDINGS, LLC:
- 6041 S. SYRACUSE WAY, STE 200
- GREENWOOD VILLAGE, CO 80111
- PERSONAL INVESTMENT HOLDINGS
- MANAGING MEMBER
- MAY 2010
- 1-4 HOURS/QUARTER (NOT DURING TRADING HOURS)
- NO FORMAL DUTIES - INTERACT WITH PARTNERS AND REPRESENTATIVES OF PORTFOLIO COMPANIES.
3. G4 HOLDINGS LTD.:
- 6041 S. SYRACUSE WAY, STE 200
- GREENWOOD VILLAGE, CO 80111
- PERSONAL INVESTMENT HOLDINGS
- MEMBER
- MAY 2011
- 1-4 HOURS/QUARTER (NOT DURING TRADING HOURS)
- NO FORMAL DUTIES - INTERACT WITH PARTNERS AND REPRESENTATIVES PORTFOLIO COMPANIES.
4. GUTRICH FAMILY HOLDINGS LLC:
- 6041 S. SYRACUSE WAY, STE 200
- GREENWOOD VILLAGE, CO 80111
- PERSONAL INVESTMENT HOLDINGS
- MEMBER
- MAY 2011
- 1-4 HOURS/QUARTER (NOT DURING TRADING HOURS)
- NO FORMAL DUTIES - INTERACT WITH PARTNERS AND REPRESENTATIVES PORTFOLIO COMPANIES.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Matthew Gutrich'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
April 8, 2014 - Present
FI401K ADVISORS
Office #1: 6041 S Syracuse Way Suite 200, Greenwood Village, CO 80111RIA
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.
BD
CRD#: 4257
ELGIN, IL
Past
February 26, 1996 - March 12, 1998
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
August 21, 1995 - March 5, 1996
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 9, 1992 - July 6, 1995
INVESTORS BROKERAGE SERVICES, INC.
BD
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".
FA
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)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)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
FA
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
6041 South Syracuse Way Ste 200, Greenwood Village, CO 80111
Mailing Address
Phone number
(303) 495-5890
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 338 |
| AUM (Assets Under Management) | $ 849,723,671 |
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.
