KG
Kenneth Gutwillig
FINANCIAL DECISIONS
Yorktown Heights, NY
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CRD#: 4610174
KG
Professional summary
Kenneth Gutwillig is a registered financial advisor currently at FINANCIAL DECISIONS, LLC located in Yorktown Heights, New York.
Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Kenneth has worked at 2 firms and has passed the 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) INSURANCE BROKERAGE - DBA: THE INSURANCE ADVISORY CENTER AT FINANCIAL DECISIONS, INVESTMENT-RELATED, 780 THIRD AVENUE, 19TH FLOOR, NEW YORK, NY 10017, INSURANCE SALES AND SERVICES, AGENT/CHIEF INVESTMENT OFFICER, START DATE: 06/2013, APPROXIMATE NUMBER OF HOURS/MONTH: 10-25, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: 10-25, DUTIES: INSURANCE SALES AND SERVICE FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY.
2) INSURANCE BROKERAGE - INSURANCE DECISIONS, INVESTMENT-RELATED, 780 THIRD AVENUE, 19TH FLOOR, NEW YORK, NY 10017, INSURANCE SALES AND SERVICES, AGENT, START DATE: 2013, APPROXIMATE NUMBER OF HOURS/MONTH: 25-40, APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS: 25-40, DUTIES: LIFE, ACCIDENT, HEALTH, DISABILITY AND LTC INSURANCE SALES AND SERVICES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Gutwillig'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
November 30, 2018 - Present
FINANCIAL DECISIONS, LLC
Office #2: 780 Third Avenue 18th Floor, New York, NY 10017RIA
CRD#: 107755
Yorktown Heights, NY
Past
December 12, 2012 - October 17, 2014
FINANCIAL DECISIONS, LLC
RIA
CRD#: 107755
NEW YORK, NY
Past
November 27, 2002 - December 31, 2018
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
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".
FD
FINANCIAL DECISIONS, LLC
FINANCIAL DECISIONS INC | FINANCIAL DECISIONS, LLC
CRD#: 107755 / SEC#: 801-39858
RIA
Registered Investment Advisory firm - (10/2/1991 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
New York(5/29/2021)
IAR
Texas(11/30/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FD
FINANCIAL DECISIONS, LLC
FINANCIAL DECISIONS INC | FINANCIAL DECISIONS, LLC
CRD#: 107755 / SEC#: 801-39858
RIA
Registered Investment Advisory firm - (10/2/1991 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
780 Third Avenue 18th Floor, New York, NY 10017
Mailing Address
Phone number
(212) 920-3470
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 551 |
| AUM (Assets Under Management) | $ 321,159,838 |
Red Flags
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