KG
Kitmen S. Gunther
TRANSAMERICA FINANCIAL ADVISORS
Fullerton, CA 92831
Some features on this profile are disabled
CRD#: 2331954
KG
Professional summary
Kitmen Sarah Gunther, who also goes by Kit Men Gunther, Kitmen So Gunther, Kit Men So, Kitmen Sarah So, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Fullerton, California.
Kitmen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Kitmen has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kit Men Gunther | Kitmen So Gunther | Kit Men So | Kitmen Sarah So
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Ocean House Apartments, LLC/yes/14 Monarch Bay Plaza Dana Point CA 92629/ Partner/ 5/9/2011 / I am a Partner. No function. /I am a Partner with 25% ownership/I will not have any activity so it will not interfere with my responsibilities to my Firm or its customers. KSG HEALTH INSURANCE SERVICES,14 MONARCH BAY PLAZA, #168, DANA POINT CA 92629, INVESTMENT RELATED, START DATE 10/15/2010, PRINCIPAL, SINCE THIS IS A SOLE PROPRIETORSHIP, I AM RESPONSIBLE FOR OBTAINING CLIENT CENSUS, REQUESTING QUOTES FROM GENERAL AGENCY WORD AND BROWN AND ENROLLING THE CLIENT IN PLAN OF CHOICE., 4HRS PER MONTH CASA PACIFICO, LLC; YES, INVESTMENT RELATED; 14 MONARCH BAY PLAZA, #168, DANA POINT CA 92629; HOLDING INSTRUMENT FOR A 12 UNIT APARTMENT COMPLEX IN SANTA ANA, CA, MEMBER THROUGH COMMUNITY PROPERTY STATUS WITH SPOUSE; 10/4/12; 0 HRS/MONTH; NO DUTIES CASA SERENO, LLC; 01/13/2015; YES RELATED; 14 MONARCH BAY PLAZA, #168, DANA POINT, CA 92629; MEMBER; 63 HRS/MO; 0 TRADING; PROPERTY MGMNT AND ACCOUNTING DUTIES. ASIAN COMMUNITY DEVELOPMENT POSITION: PRESIDENT NATURE: Charitable Educational Non-profit INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2004 ADDRESS: 32932 Pacific Coast Highway, 14-168, Dana Point CA 92629, United States DESCRIPTION: Run meetings, help with general decisions of the charity.
CRS (Client Relationship Summary) - RIA
Click below to view Kitmen Sarah Gunther's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kitmen Sarah Gunther'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
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 680 Langsdorf Dr. Ste 204, Fullerton, CA 92831RIA
BD
CRD#: 16164
Fullerton, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 680 Langsdorf Dr. Ste 204, Fullerton, CA 92831RIA
BD
CRD#: 16164
Fullerton, CA
Past
November 3, 2010 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
ANAHEIM, CA
Past
November 2, 2010 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
ANAHEIM, CA
Past
September 11, 2007 - November 3, 2008
LPL FINANCIAL LLC
BD
CRD#: 6413
ORANGE, CA
Past
May 3, 2002 - December 6, 2005
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
June 25, 2001 - May 6, 2002
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
April 6, 1993 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
April 6, 1993 - May 9, 2001
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/6/2012)
IAR
California(1/6/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
