Amanda M. Gausewitz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Amanda Marie Gausewitz, CFP®, ChFC®, CLU®, who also goes by Mandi Gausewitz, was a registered financial professional .
Amanda is a previously registered financial professional and started their career in finance in 2005. Amanda had worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2012
Experience
November 30, 2022 - December 31, 2023
KESTRA INVESTMENT SERVICES, LLC
October 6, 2022 - May 27, 2026
GOLDSTEIN ADVISORS, LLC
October 10, 2019 - December 1, 2022
ARBOR POINT ADVISORS
October 10, 2019 - December 1, 2022
SECURITIES AMERICA, INC.
May 10, 2005 - October 18, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
March 18, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
March 18, 2005 - October 18, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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