Kevin W. Guth
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.
Kevin Walter Guth was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1997. Kevin had worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2021 - June 27, 2022
TRINITYPOINT WEALTH, LLC
January 9, 2015 - July 27, 2021
SNOWDEN CAPITAL ADVISORS LLC
September 20, 2013 - December 31, 2014
SNOWDEN CAPITAL ADVISORS LLC
September 19, 2013 - July 27, 2021
SNOWDEN ACCOUNT SERVICES LLC
September 29, 1997 - September 19, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 1997 - September 19, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TRINITYPOINT WEALTH, LLC
CRD#: 297165 / SEC#: 801-113394
Contact information
Regulatory assets under management
| Total Number of Accounts | 4,581 |
| AUM (Assets Under Management) | $ 1,416,975,703 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/20/2025 | ||
| 04/04/2024 | ||
| 02/07/2023 |
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.
