Philip A. Guske

PATHFINDER ADVISORY

Rockford, IL 61108

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CRD#: 4427682

Professional summary

Philip Aaron Guske, CFP® is a registered financial advisor currently at PATHFINDER ADVISORY, INC. located in Rockford, Illinois.

Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Philip has worked at 2 firms and has passed the Series 65 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Aaron Guske'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^®

Certified Financial Planner

Start date: 2012

Experience

Current

April 17, 2009 - Present

PATHFINDER ADVISORY, INC.

Office #1: 6981 Redansa Dr, Rockford, IL 61108

RIA

CRD#: 122768

Rockford, IL

Past

August 7, 2001 - June 14, 2002

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(4/17/2009)

IAR

Texas
(12/18/2024)

IAR

Wisconsin
(12/13/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/1/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 8/3/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PATHFINDER ADVISORY, INC.

PATHFINDER ADVISORY, INC. | PATHFINDER WEALTH MANAGEMENT, INC.

CRD#: 122768 / SEC#: 801-63573

RIA

Registered Investment Advisory firm - (2/22/2012 Terminated)

Illinois

Registered Investment Advisory firm - (9/29/2011 Approved)

Indiana

Registered Investment Advisory firm - (12/11/2024 Terminated)

Texas

Registered Investment Advisory firm - (12/16/2024 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (2/16/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

6981 Redansa Dr, Rockford, IL 61108

Mailing Address

Phone number

(815) 399-9806

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	334
AUM (Assets Under Management)	$ 97,064,596

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.

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Philip A. Guske

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Aaron Guske's CRS (Customer Relationship Summary).

Certified licenses

Experience

PATHFINDER ADVISORY, INC.

USALLIANZ SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/2009

Series 6

Date: 8/3/2001

Current Firm

PATHFINDER ADVISORY, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PATHFINDER ADVISORY, INC.

TRUST BUT VERIFY

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