GG
Gerald G. Guintu
WAGNER LOFTIN INVESTMENT SERVICES LLC
PLEASANT HILL, CA 94523
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CRD#: 4173908
GG
Professional summary
Gerald Gilberto Guintu, CFP® is a registered financial advisor currently at WAGNER LOFTIN INVESTMENT SERVICES LLC located in Pleasant Hill, California and OSAIC WEALTH, INC. located in Pleasant Hill, California.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Gerald has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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) WAGNER, LOFTIN INVESTMENT SERVICES POSITION: Financial Advisor NATURE: Sole Proprietorship^Registered Investment Adviser - INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 90 START DATE: 01/01/2002 ADDRESS: 3478 Buskirk Ave., Suite 333, Pleasant Hill CA 94523 DESCRIPTION: Client contact, portfolio review, manage client accounts, monitor for compliance issues 2) GERALD GUINTU POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2001 ADDRESS: 3478 Buskirk Ave., Suite 333, Pleasant Hill CA 94523 DESCRIPTION: Provide Insurance 3) WAGNER LOFTIN INVESTMENT SERVICES LLC POSITION: Financial Advisor NATURE: LLC Registered Investment Adviser - INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 90 START DATE: 01/01/2002 ADDRESS: 3478 Buskirk Ave., Suite 333, Pleasant Hill CA 94523, United States DESCRIPTION: Client contact, portfolio review, manage client accounts, monitor for compliance issues 4) DR YACHTS LLC POSITION: Ower NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 0 START DATE: 05/15/2023 ADDRESS: 1016 Peppermill Court, Concord CA 94518, United States DESCRIPTION: Marketing of charter, maintenance of vessel, accounting.
CRS (Client Relationship Summary) - RIA
Click below to view Gerald Gilberto Guintu'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®
CFP®
Start date: 2013
Experience
Current
September 26, 2003 - Present
WAGNER LOFTIN INVESTMENT SERVICES LLC
Office #1: 3478 Buskirk Avenue Suite 308, Pleasant Hill, CA 94523RIA
CRD#: 109770
PLEASANT HILL, CA
Current
September 1, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 3478 Buskirk Ave Suite 333, Pleasant Hill, CA 94523RIA
BD
CRD#: 23131
Pleasant Hill, CA
Past
October 31, 2005 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
PLEASANT HILL, CA
Past
September 11, 2001 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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".
WL
WAGNER LOFTIN INVESTMENT SERVICES LLC
RONALD JOSEPH WAGNER | WAGNER, LOFTIN INVESTMENT SERVICES | WAGNER LOFTIN INVESTMENT SERVICES LLC
CRD#: 109770 / SEC#: 801-63145
RIA
Registered Investment Advisory firm - (5/18/2004 Approved)California
Registered Investment Advisory firm - (5/18/2004 Terminated)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
Arizona(9/1/2023)
IAR
California(9/26/2003)
RR
California(9/1/2023)
RR
Colorado(9/1/2023)
RR
Florida(9/1/2023)
RR
Georgia(9/1/2023)
RR
Hawaii(9/1/2023)
RR
Idaho(9/1/2023)
RR
Missouri(9/1/2023)
RR
Montana(5/7/2024)
RR
Nevada(9/1/2023)
RR
New York(9/1/2023)
RR
North Carolina(9/1/2023)
RR
Oregon(9/1/2023)
RR
South Carolina(9/1/2023)
RR
Texas(9/1/2023)
RR
Utah(9/1/2023)
RR
Virginia(9/1/2023)
RR
Washington(9/1/2023)
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
WL
WAGNER LOFTIN INVESTMENT SERVICES LLC
RONALD JOSEPH WAGNER | WAGNER, LOFTIN INVESTMENT SERVICES | WAGNER LOFTIN INVESTMENT SERVICES LLC
CRD#: 109770 / SEC#: 801-63145
RIA
Registered Investment Advisory firm - (5/18/2004 Approved)California
Registered Investment Advisory firm - (5/18/2004 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3478 Buskirk Avenue Suite 333, Pleasant Hill, CA 94523
Mailing Address
Phone number
(925) 930-7176
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,031 |
| AUM (Assets Under Management) | $ 478,523,345 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WAGNER LOFTIN INVESTMENT SERVICES LLC
CRD#: 109770Pleasant Hill, CA 94523TRUST BUT VERIFY
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