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AG

Alisa L. Guetzkow

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
RLLNG HILLS ESTATES, CA
Some features on this profile are disabled
CRD#: 4246181
AG

Professional summary

Alisa Lauren Guetzkow, who also goes by Alisa Lauren Bang, Alisa L Bang, Alisa Lauren Guetzkow, Alisa Guetzkow, is a registered financial advisor currently at FIDELITY INSTITUTIONAL WEALTH ADVISER LLC located in Rllng Hills Estates, California and FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island.

Alisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Alisa has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Alisa Lauren Bang | Alisa L Bang | Alisa Lauren Guetzkow | Alisa Guetzkow

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.
OBA-108519|OrgNmn:Residences of RHCC HOA Board|Org Addr:Rolling Hi,California,US|OBA Nature:Homeowners association Board |Invst Rel:N|Title:Board member|Duties:board member on the HOA - safety and maintenance within the community|StrtDt:04-01-24|TotHrs/mon:2|TrdHrs/mon:0|OBA-108456|OrgNmn:Tiger Bleu Trust|Org Addr:Costa Mesa,California,US|OBA Nature:rental property|Invst Rel:Y|Title:landlord & homeowner|Duties:landlord - collect rent, manage repairs|StrtDt:04-01-24|TotHrs/mon:1|TrdHrs/mon:0|OBA-108517|OrgNmn:Tiger Bleu Trust|Org Addr:Rolling Hi,California,US|OBA Nature:Trust that holds various real |Invst Rel:Y|Title:Trustee|Duties:trustee of the trust |StrtDt:04-01-24|TotHrs/mon:1|TrdHrs/mon:0|OBA-108520|OrgNmn:Rental Property - Sheephorn|Org Addr:Big Bear L,California,US|OBA Nature:short term rental property|Invst Rel:Y|Title:Trustee|Duties:homeowner |StrtDt:04-01-24|TotHrs/mon:1|TrdHrs/mon:0|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alisa Lauren Guetzkow'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®
None

Experience

Current

October 8, 2024 - Present

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

RIA
CRD#: 301896
RLLNG HILLS ESTATES, CA
Current

May 10, 2024 - Present

FIDELITY DISTRIBUTORS COMPANY LLC

Office #1: 900 Salem Street, Smithfield, RI 02917
BD
CRD#: 17507
Smithfield, RI
Past

February 14, 2022 - March 1, 2024

PRINCIPAL ASSET MANAGEMENT

RIA
CRD#: 109002
Rolling Hills Estates, CA
Past

January 11, 2021 - March 1, 2024

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
DES MOINES, IA
Past

February 28, 2020 - January 21, 2021

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
MINNEAPOLIS, MN
Past

October 3, 2017 - February 28, 2020

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

March 9, 2016 - September 12, 2017

PACIFIC SELECT DISTRIBUTORS, LLC

BD
CRD#: 4452
NEWPORT BEACH, CA
Past

January 18, 2011 - February 2, 2016

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
JERSEY CITY, NJ
Past

June 8, 2010 - December 21, 2010

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

April 13, 2010 - June 2, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

February 2, 2009 - September 25, 2009

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

December 8, 2006 - December 15, 2008

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

July 24, 2001 - June 26, 2002

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ

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".
FI
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
FIDELITY INSTITUTIONAL AM | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

CRD#: 301896 / SEC#: 801-116860

RIA
Registered Investment Advisory firm - (6/28/2019 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
(5/10/2024)
IAR
California
(10/8/2024)
RR
Rhode Island
(5/10/2024)
IAR
Rhode Island
(10/9/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/10/2022
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/28/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/7/2006
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FI
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
FIDELITY INSTITUTIONAL AM | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

CRD#: 301896 / SEC#: 801-116860

RIA
Registered Investment Advisory firm - (6/28/2019 Approved)
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Contact information

Main Address
245 Summer Street, Boston, MA 02210
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
194

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIDELITY INSTITUTIONAL CUSTOM SMAS (6/23/2025)
FIDELITY MANAGED ACCOUNT XCHANGE ESSENTIALS (3/31/2025)
FIDELITY MANAGED ACCOUNT XCHANGE (3/31/2025)
FIDELITY MODEL PORTFOLIO SOLUTIONS (3/31/2025)

Regulatory assets under management

Total Number of Accounts829
AUM (Assets Under Management)$ 6,468,261,663

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2025
Cover Page
Report
08/22/2024
Cover Page
Report
10/23/2023
Cover Page
Report
01/26/2023
Cover Page
Report

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

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

CRD#: 301896Rllng Hills Estates, CA

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