Kanaka E. Szabo-cummings

GATES PASS ADVISORS

LOS ALTOS, CA 94022

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CRD#: 2354565

Professional summary

Kanaka Esther Szabo-cummings, CFP®, who also goes by Esther E Szabo, K Esther Szabo, Kanaka Esther Szabo, Esther Edith Szabo-pelsoczi, Kanaka Esther Szabo-webber, is a registered financial advisor currently at GATES PASS ADVISORS, LLC located in Los Altos, California.

Kanaka is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Kanaka has worked at 7 firms and has passed the Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Esther E Szabo | K Esther Szabo | Kanaka Esther Szabo | Esther Edith Szabo-Pelsoczi | Kanaka Esther Szabo-Webber

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 Kanaka Esther Szabo-cummings'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®

CFP^®

Certified Financial Planner

Start date: 1996

Experience

Current

August 31, 2015 - Present

GATES PASS ADVISORS, LLC

Office #1: 280 2nd Street Suite 280, Los Altos, CA 94022

RIA

CRD#: 269983

LOS ALTOS, CA

Past

April 20, 2006 - October 28, 2015

WEALTHVALUES, LLC

RIA

CRD#: 140004

LOS ALTOS, CA

Past

July 11, 2003 - July 27, 2006

ALLIED CONSULTING GROUP

RIA

CRD#: 113535

LOS ALTOS, CA

Past

September 7, 1999 - June 30, 2003

GOLDSMITH & SZABO LLC

RIA

CRD#: 109033

LOS ALTOS, CA

Past

August 6, 1998 - May 11, 1999

STANFORD INVESTMENT GROUP, INC.

CRD#: 10331

MOUNTAIN VIEW, CA

Past

May 22, 1995 - June 10, 1998

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

August 13, 1993 - February 8, 1995

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

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".

GATES PASS ADVISORS, LLC

CRD#: 269983 / SEC#: 801-123686

RIA

Registered Investment Advisory firm - (4/11/2022 Approved)

California

Registered Investment Advisory firm - (5/26/2022 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
(8/31/2015)

IAR

Texas
(6/13/2025)

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

Series 63

Date: 8/11/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/12/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 4/11/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

GATES PASS ADVISORS, LLC

CRD#: 269983 / SEC#: 801-123686

RIA

Registered Investment Advisory firm - (4/11/2022 Approved)

California

Registered Investment Advisory firm - (5/26/2022 Terminated)

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Contact information

Main Address

280 2nd Street Suite 280, Los Altos, CA 94022

Mailing Address

Phone number

(650) 797-0280

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GATES PASS ADVISORS FORM ADV PART 2A (7/24/2025)

Regulatory assets under management

Total Number of Accounts	279
AUM (Assets Under Management)	$ 187,953,677

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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Kanaka E. Szabo-cummings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kanaka Esther Szabo-cummings's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTHVALUES, LLC

ALLIED CONSULTING GROUP

GOLDSMITH & SZABO LLC

STANFORD INVESTMENT GROUP, INC.

CHARLES SCHWAB & CO., INC.

SECURITIES AMERICA, INC.

Primary Firm SEC Registration

GATES PASS ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/11/1993

Series 7

Date: 8/12/1993

Series 8

Date: 4/11/1998

Current Firm

GATES PASS ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GATES PASS ADVISORS, LLC

TRUST BUT VERIFY

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