DP
David E. Pentek
GATEWAY WEALTH PARTNERS
APPLETON, WI 54913
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CRD#: 4046368
DP
Professional summary
David Edward Pentek is a registered financial advisor currently at GATEWAY WEALTH PARTNERS, LLC located in Appleton, Wisconsin and LPL FINANCIAL LLC located in Appleton, Wisconsin.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. 11/29/2021 - Medicare Masters - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 08/01/2018 - 3 Hours Per Month/1 Hour During Securities Trading - Offering Medicare advantage plans. 2. 1/19/2023 - West Point Financial Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Start Date - 12/20/2022 - 3 Hours Per Month/1 Hours During Securities Trading 3. 2/01/2023 - Athene - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Start Date - 01/10/2023 - 3 Hours Per Month/1 Hours During Securities Trading 4. 05/09/2023 - Ash Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 04/11/2023 - 3 Hours Per Month/1 Hours During Securities Trading 5. 06/07/2023 - Gateway Wealth Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 06/01/2023 - 20 Hours Per Month/ 20 Hours During Securities Trading - I provide investment advisory services through Gateway Wealth Partners, an independent investment advisor firm. I started this business activity in 06/2023. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 06/29/2023 - Gateway Financial Partners LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 06/05/2023 - 160 Hours Per Month/ 100 Hours During Securities Trading 7. 08/02/2023 - Financial Partners - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 07/24/2023 - 40 Hours Per Month/ 40 Hours During Trading 8. 06/03/2025 - David Pentek - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date:05/01/2025 - 1 Hours Per Month/ 1Hours During Trading 9. 06/03/2025 - PDI Insurance Marketing assoc - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date:05/01/2025 - 2 Hours Per Month/ 1Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view David Edward Pentek'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 7, 2023 - Present
GATEWAY WEALTH PARTNERS, LLC
Office #1: 1500 Casaloma Drive Suite 411, Appleton, WI 54913RIA
CRD#: 322789
APPLETON, WI
Current
February 14, 2018 - Present
LPL FINANCIAL LLC
Office #1: 1500 N Casaloma Dr Ste 411, Appleton, WI 54913Office #2: 5308 Beech St, Laona, WI 54541RIA
BD
CRD#: 6413
APPLETON, WI
Past
February 14, 2018 - September 8, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
GREEN BAY, WI
Past
January 3, 2011 - February 14, 2018
SII INVESTMENTS, INC.
RIA
CRD#: 2225
GREEN BAY, WI
Past
January 3, 2011 - February 14, 2018
SII INVESTMENTS, INC.
BD
CRD#: 2225
GREEN BAY, WI
Past
December 2, 2008 - November 11, 2010
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEENAH, WI
Past
December 2, 2008 - November 11, 2010
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEENAH, WI
Past
December 1, 2001 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
DEPERE, WI
Past
December 1, 2001 - December 6, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
DE PERE, WI
Past
December 15, 1999 - December 22, 1999
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
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".
GW
GATEWAY WEALTH PARTNERS, LLC
ADVISORS' PRIDE | WEALTH GUARDIAN ADVISORS | UNION RETIREMENT | THORSEN WEALTH MANAGEMENT | PENNELL WEALTH ADVISORS | MCCLONE RETIREMENT ADVISORS | INTEGRATED WEALTH PARTNERS | HAGEN WEALTH MANAGEMENT | GATEWAY WEALTH PARTNERS, LLC | GATEWAY FINANCIAL PARTNERS, LLC | FORETHOUGHT PLANNING | FINANCIAL RESOURCE SERVICES | FINANCIAL ADVISORS INC. | BOBER WEALTH MANAGEMENT COMPANY
CRD#: 322789 / SEC#: 801-126635
RIA
Registered Investment Advisory firm - (9/26/2022 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
California(11/29/2023)
RR
Florida(11/29/2023)
RR
Illinois(10/24/2023)
RR
Michigan(11/14/2023)
RR
Minnesota(10/24/2023)
RR
Oregon(10/24/2023)
RR
Wisconsin(2/14/2018)
IAR
Wisconsin(6/7/2023)
RR
Wyoming(10/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GW
GATEWAY WEALTH PARTNERS, LLC
ADVISORS' PRIDE | WEALTH GUARDIAN ADVISORS | UNION RETIREMENT | THORSEN WEALTH MANAGEMENT | PENNELL WEALTH ADVISORS | MCCLONE RETIREMENT ADVISORS | INTEGRATED WEALTH PARTNERS | HAGEN WEALTH MANAGEMENT | GATEWAY WEALTH PARTNERS, LLC | GATEWAY FINANCIAL PARTNERS, LLC | FORETHOUGHT PLANNING | FINANCIAL RESOURCE SERVICES | FINANCIAL ADVISORS INC. | BOBER WEALTH MANAGEMENT COMPANY
CRD#: 322789 / SEC#: 801-126635
RIA
Registered Investment Advisory firm - (9/26/2022 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 W. Lawrence Street Suite 304, Appleton, WI 54911
Mailing Address
Phone number
(920) 731-9293
Established
Firm type
Fiscal year end
# of Employees
66
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,702 |
| AUM (Assets Under Management) | $ 1,249,772,416 |
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
GATEWAY WEALTH PARTNERS, LLC
CRD#: 322789Appleton, WI 54913TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
