Gopi Krishna Vungarala | Financial Professional

Professional summary

Gopi Krishna Vungarala was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gopi is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Gopi had worked at 3 firms, which includes SUTTERFIELD FINANCIAL GROUP INC., PURSHE KAPLAN STERLING INVESTMENTS, AMERICAN GENERAL SECURITIES INCORPORATED.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Gopi K Vungarala | Gopi Krishan Vungarala

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 4, 2010 - February 12, 2016

SUTTERFIELD FINANCIAL GROUP, INC.

RIA

CRD#: 115652

MIDLAND, MI

Past

January 28, 2008 - February 4, 2008

SUTTERFIELD FINANCIAL GROUP, INC.

RIA

CRD#: 115652

BARTLESVILLE, OK

Past

December 13, 2007 - February 21, 2017

PURSHE KAPLAN STERLING INVESTMENTS

BD

CRD#: 35747

MIDLAND, MI

Past

October 6, 2004 - December 13, 2007

AMERICAN GENERAL SECURITIES INCORPORATED

BD

CRD#: 13626

MIDLAND, MI

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".

SF

SUTTERFIELD FINANCIAL GROUP, INC.

CRD#: 115652 / SEC#: 801-63652

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

Oklahoma

Registered Investment Advisory firm - (1/6/2005 Terminated)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

RR

IAR

Series 66

Date: 10/21/2004

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 2/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 10/4/2004

General Securities Representative Examination

Current Firm

SF

SUTTERFIELD FINANCIAL GROUP, INC.

CRD#: 115652 / SEC#: 801-63652

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

Oklahoma

Registered Investment Advisory firm - (1/6/2005 Terminated)

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

501 Se Fourth Street, Bartlesville, OK 74003

Mailing Address

Phone number

(918) 338-2255

Established

Firm type

Fiscal year end

# of Employees

24

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	2,280
AUM (Assets Under Management)	$ 220,821,609

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
10/07/2024	Cover Page	Report
04/26/2024	Cover Page	Report
09/13/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Gopi K. Vungarala

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUTTERFIELD FINANCIAL GROUP, INC.

SUTTERFIELD FINANCIAL GROUP, INC.

PURSHE KAPLAN STERLING INVESTMENTS

AMERICAN GENERAL SECURITIES INCORPORATED

Primary Firm SEC Registration

SUTTERFIELD FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/21/2004

SIE

Date: 2/21/2017

Series 7

Date: 10/4/2004

Current Firm

SUTTERFIELD FINANCIAL GROUP, INC.

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SUTTERFIELD FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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