Larry S. Gutsch
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Larry Samuel Gutsch was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1969. Larry had worked at 7 firms and has passed the Series 65, Series 63, PC, Series 1, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - January 13, 2021
STATHEROS FINANCIAL SOLUTIONS, INC.
January 9, 2006 - December 17, 2012
FFEC WEALTH PARTNERS LLC
January 9, 2006 - December 17, 2012
FFEC WEALTH PARTNERS LLC
September 15, 2005 - December 31, 2019
PGR SOLUTIONS, LLC
February 10, 2004 - September 2, 2005
MORGAN STANLEY DW INC.
October 6, 2003 - February 4, 2004
PGR SOLUTIONS, LLC
February 24, 1978 - May 8, 2003
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
October 27, 1972 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
February 25, 1969 - December 4, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
STATHEROS FINANCIAL SOLUTIONS, INC.
CRD#: 306217 / SEC#: 801-117649
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 2/6/1979
AMEX Put and Call ExamSeries 1
Date: 2/21/1969
Registered Representative ExaminationSeries 12
Date: 12/29/1972
NYSE Branch Manager ExaminationSeries 40
Date: 12/8/1972
Registered Principal ExaminationCurrent Firm
STATHEROS FINANCIAL SOLUTIONS, INC.
CRD#: 306217 / SEC#: 801-117649
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,346 |
| AUM (Assets Under Management) | $ 810,053,837 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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