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Kathy Ann Gurczynski

VONTOBEL SECURITIES LTD.
NEW YORK, NY
·CRD# 2201270·33 years experience

Professional Summary

Kathy Ann Gurczynski, who also goes by Kathy A Gurczynski Hurley, is a registered financial advisor currently at VONTOBEL SECURITIES LTD. located in New York, New York. Kathy is registered as a RR (Registered Representative) and started their career in finance in 1992. Kathy has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 4, Series 53 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Kathy A Gurczynski Hurley

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

33 years in the financial services industry

Current & Past Employments

VONTOBEL SECURITIES LTD.·CRD# 21368
BD
66 Hudson Blvd 34th Floor, Suite 3401, New York, NY 10001
November 24, 2014 - Present
GILDER GAGNON HOWE & CO. LLC·CRD# 2002
BD
New York, NY
June 23, 2008 - February 17, 2010
CHASE INVESTMENT SERVICES CORP.·CRD# 25574
RIA
New York, NY
July 15, 1999 - September 16, 2004
CHASE INVESTMENT SERVICES CORP.·CRD# 25574
BD
Chicago, IL
April 12, 1999 - September 16, 2004
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
March 18, 1999 - April 15, 1999
GRUNTAL & CO., L.L.C.·CRD# 372
BD
New York, NY
October 6, 1994 - March 23, 1998
THE STAMFORD COMPANY, INC.·CRD# 23725
BD
January 27, 1994 - May 25, 1994
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
New York, NY
June 3, 1993 - June 8, 1993
LADENBURG THALMANN & CO. INC.·CRD# 505
BD
New York, NY
April 23, 1993 - May 25, 1993
CHELSEA STREET SECURITIES, INC.·CRD# 17548
BD
December 9, 1992 - January 27, 1993

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Current Firm

VS
VONTOBEL SECURITIES LTD.

VONTOBEL SECURITIES LIMITED | VONTOBEL SECURITIES LTD.

CRD#: 21368 / SEC#: 8-38977
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

Gotthardstrasse 44, Zurich 8002

Mailing Address

66 Hudson Boulevard 34th Floor, New York, NY 10001

Phone Number

1141 58 283 71 11

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (2 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
VONTOBEL HOLDING AGOWNER—
DUENKI, BEATCHIEF EXECUTIVE OFFICER6041752
GURCZYNSKI, KATHY ANNCCO2201270
SCHUEMPERLI, SUSANNECFO/FINOP5760445

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1993About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1992About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 4 — Registered Options Principal Examination

Passed Dec 2008About the Series 4 exam

Series 53 — Municipal Securities Principal Examination

Passed Sep 2004About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Feb 2002About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Kathy Ann Gurczynski's CRS (Customer Relationship Summary).

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