Steven K. Gissiner

CAPITAL RESEARCH & CONSULTING LLC

Charlevoix, MI

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CRD#: 4547832

Professional summary

Steven Karl Gissiner is a registered financial advisor currently at CAPITAL RESEARCH & CONSULTING LLC located in Charlevoix, Michigan.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Steven has worked at 4 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.

1) ORCHARD HILLS CONSULTING, LLC; PRINCIPAL; RETIREMENT PLAN CONSULTING;START DATE 01/2005; APPROX. 120 HRS/MO.; Responsibilities include consulting on retirement plan compliance and administrative issues for companies that are not clients of BKS or Capital Research. Additional consulting is provided on behalf of law firms and consulting organizations in regards to retirement plan litigation. Approximately 120 hours per month, including 100 during trading hours. 2) CAPITAL RESEARCH AND CONSULTING LLC; INVESTMENT ADVISOR REPRESENTATIVE; 08/2009; INVESTMENT RELATED; INVESTMENT ADVISORY FIRM; Approximately 50 HRS/MO; Responsibilities include providing retirement plan consulting support for companies that are not clients of BKS or Orchard Hills Consulting. Approximately 50 hours per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Karl Gissiner'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®

None

Experience

Current

August 18, 2009 - Present

CAPITAL RESEARCH & CONSULTING LLC

RIA

CRD#: 109868

Charlevoix, MI

Past

October 14, 2019 - January 3, 2024

BKS RETIREMENT SERVICES

RIA

CRD#: 304266

Oro Valley, AZ

Past

November 6, 2009 - October 18, 2019

FIDUCIARY PARTNERS INVESTMENT CONSULTING, LLC

RIA

CRD#: 145471

CLEARWATER, FL

Past

July 1, 2003 - May 14, 2009

CAPITAL RESEARCH BROKERAGE SERVICES, LLC

CRD#: 40823

PASADENA, CA

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".

CAPITAL RESEARCH & CONSULTING LLC

CAPITAL RESEARCH & CONSULTING LLC | CAPITAL RESEARCH BROKERAGE SERVICES, LLC

CRD#: 109868 / SEC#: 801-56356

RIA

Registered Investment Advisory firm - (3/23/1999 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.

Highlighted states indicate IAR registrations

IAR

California
(8/18/2009)

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: 6/4/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 6/25/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAPITAL RESEARCH & CONSULTING LLC

CAPITAL RESEARCH & CONSULTING LLC | CAPITAL RESEARCH BROKERAGE SERVICES, LLC

CRD#: 109868 / SEC#: 801-56356

RIA

Registered Investment Advisory firm - (3/23/1999 Approved)

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Contact information

Main Address

15 S. Raymond Avenue Suite 200, Pasadena, CA 91105

Mailing Address

Phone number

(626) 844-1440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CRC NARRATIVE ADV PART 2 031725 (3/17/2025)

Regulatory assets under management

Total Number of Accounts	64
AUM (Assets Under Management)	$ 6,068,217,582

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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Steven K. Gissiner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Karl Gissiner's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL RESEARCH & CONSULTING LLC

BKS RETIREMENT SERVICES

FIDUCIARY PARTNERS INVESTMENT CONSULTING, LLC

CAPITAL RESEARCH BROKERAGE SERVICES, LLC

Primary Firm SEC Registration

CAPITAL RESEARCH & CONSULTING LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/4/2009

Series 6

Date: 6/25/2003

Current Firm

CAPITAL RESEARCH & CONSULTING LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL RESEARCH & CONSULTING LLC

TRUST BUT VERIFY

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