KG
Kurt A. Gutman
COMPASS FINANCIAL ADVISORS LLC
FORT WAYNE, IN 46825
Some features on this profile are disabled
CRD#: 2839761
KG
Professional summary
Kurt Alan Gutman, who also goes by Kurt A Gutman, is a registered financial advisor currently at COMPASS FINANCIAL ADVISORS LLC located in Fort Wayne, Indiana and AUSDAL FINANCIAL PARTNERS, INC. located in Fort Wayne, Indiana.
Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kurt has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kurt A Gutman
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) COMPASS FINANCIAL ADVISORS - DBA - POSITION: IAR - NATURE: INVESTMENT ADVISORY SERVICES - INVESTMENT RELATED: YES - START DATE: 06/2009 - ADDRESS: 9933 DUPONT CR W, FORT WAYNE, IN 46825. APPROX 160 HOURS PER MONTH/7 HOURS DURING SECURITIES TRADING. REGISTERED REPRESENTATIVE FOR AUSDAL FINANCIAL PARTNERS. BUSINESS STARTED 1/2021. COMPASS AND AUSDAL ARE INDEPENDENTLY OWNED AND OPERATED AND ARE SEPARATE ENTITIES. APPROX. 160 HOURS PER MONTH/7 HOURS DURING SECURITIES TRADING. 2) INSURANCE;INVESTMENT RELATED; FORT WAYNE, IN;INSURANCE SALES; AGENT; ACTIVITY BEGAN 08/1996; I DEVOTE APP 10 HOURS TO THIS ACTIVITY WITH ALL 10 HOURS DURING TRADING HOURS; SALE OF INSURANCE PRODUCTS. 3) ALLEN COUNTY ECONOMIC DEVELOPMENT COMMISSION; NOT INVESTMENT RELATED; FORT WAYNE, IN; CIVIC ORGANIZATION WHOSE PRIMARY DUTY IS CONSIDERATION OF APPLICATIONS FOR INDUSTRIAL REVENUE BONDS; BOARD MEMBER; ACTIVITY BEGAN 01/2024; I DEVOTE APPX 1 HOUR PER MONTH TO THIS ACTIVITY DURING TRADING HOURS; ASSIST COMMISSION WITH APPLICATIONS FOR INDUSTRIAL REVENUE BONDS. 4) CONCORDIA LUTHERAN HIGH SCHOOL; NOT INVESTMENT RELATED; FORT WAYNE, IN; BOARD OF DIRECTORS THAT REPRESENT CONCORDIA EDUCATIONAL ASSOCIATION; BOARD MEMBER; ACTIVITY BEGAN OCT 2024; I DEVOTE APPX 5 HOURS TO THIS ACTIVITY WITH 2 OF THOSE HOURS DURING TRADING HOURS; MAINTAIN SUSTAINABILITY OF THE MINISTRY AND IT MAY INVOLVE FUNDRAISING IN THE FUTURE.
CRS (Client Relationship Summary) - RIA
Click below to view Kurt Alan Gutman'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
June 3, 2009 - Present
COMPASS FINANCIAL ADVISORS LLC
Office #1: 9933 West Dupont Circle Dr. Ste 100, Fort Wayne, IN 46825RIA
CRD#: 109131
FORT WAYNE, IN
Current
January 4, 2021 - Present
AUSDAL FINANCIAL PARTNERS, INC.
Office #1: 9933 Dupont Circle Drive West, Fort Wayne, IN 46825RIA
BD
CRD#: 7995
Fort Wayne, IN
Past
May 20, 2016 - December 31, 2020
HARBOUR INVESTMENTS, INC.
BD
CRD#: 19258
Fort Wayne, IN
Past
July 23, 2015 - May 25, 2016
SECURITIES AMERICA, INC.
BD
CRD#: 10205
FORT WAYNE, IN
Past
June 1, 2009 - July 24, 2015
FINTEGRA, LLC
BD
CRD#: 16741
FORT WAYNE, IN
Past
May 27, 2003 - June 3, 2009
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
FORT WAYNE, IN
Past
August 10, 2000 - June 3, 2009
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
FORT WAYNE, IN
Past
November 11, 1998 - August 31, 2000
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
May 13, 1998 - November 17, 1998
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
August 25, 1997 - January 26, 1998
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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".
CF
COMPASS FINANCIAL ADVISORS LLC
BROOKE POINT MANAGEMENT | PARTRIDGE FINANCIAL SERVICES | KENILWORTH, A DIVISION OF COMPASS FINANCIAL ADVISORS LLC | GUIDANCE WEALTH LLC | COMPASS FINANCIAL ADVISORS LLC | CFA INVESTMENTS
CRD#: 109131 / SEC#: 801-56002
RIA
Registered Investment Advisory firm - (11/30/1998 Approved)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
Florida(7/11/2022)
IAR
Indiana(6/3/2009)
RR
Indiana(1/4/2021)
RR
Louisiana(1/14/2025)
RR
Ohio(1/4/2021)
RR
Washington(1/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COMPASS FINANCIAL ADVISORS LLC
BROOKE POINT MANAGEMENT | PARTRIDGE FINANCIAL SERVICES | KENILWORTH, A DIVISION OF COMPASS FINANCIAL ADVISORS LLC | GUIDANCE WEALTH LLC | COMPASS FINANCIAL ADVISORS LLC | CFA INVESTMENTS
CRD#: 109131 / SEC#: 801-56002
RIA
Registered Investment Advisory firm - (11/30/1998 Approved)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
9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825
Mailing Address
Phone number
(260) 490-7878
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 750 |
| AUM (Assets Under Management) | $ 264,674,639 |
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.
Company Information
COMPASS FINANCIAL ADVISORS LLC
CRD#: 109131Fort Wayne, IN 46825TRUST BUT VERIFY
Monitor Kurt Gutman
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
