Kelly F. Guncheon

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CRD#: 5081486

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.

Kelly Francis Guncheon, CFP®, ChFC® was a registered financial professional .

Kelly is a previously registered financial professional and started their career in finance in 2006. Kelly had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

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)

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®

CFP^®

Certified Financial Planner

Start date: 2010

CRD#: 16668

MINNETONKA, MN

Past

June 2, 2010 - December 31, 2013

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

MINNETONKA, MN

Past

April 20, 2009 - April 14, 2010

SECURITIES AMERICA, INC.

CRD#: 10205

MINNEAPOLIS, MN

Past

March 28, 2006 - April 20, 2009

PRINCIPAL SECURITIES, INC.

CRD#: 1137

MINNETONKA, MN

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".

THE LIFE GROUP FINANCIAL SERVICES

GUNCHEON FINANCIAL LLC | THE LIFE GROUP FINANCIAL SERVICES | GUNCHEON FINANCIAL, LLC

CRD#: 277091 / SEC#: 801-131551

RIA

Registered Investment Advisory firm - (11/29/2024 Approved)

California

Registered Investment Advisory firm - (1/4/2025 Terminated)

Colorado

Registered Investment Advisory firm - (12/16/2024 Terminated)

Illinois

Registered Investment Advisory firm - (12/5/2024 Terminated)

Iowa

Registered Investment Advisory firm - (12/5/2024 Terminated)

Kansas

Registered Investment Advisory firm - (12/5/2024 Terminated)

Michigan

Registered Investment Advisory firm - (2/20/2025 Terminated)

Minnesota

Registered Investment Advisory firm - (12/5/2024 Terminated)

Missouri

Registered Investment Advisory firm - (12/5/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - (12/5/2024 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

Series 63

Date: 3/29/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/25/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/27/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THE LIFE GROUP FINANCIAL SERVICES

GUNCHEON FINANCIAL LLC | THE LIFE GROUP FINANCIAL SERVICES | GUNCHEON FINANCIAL, LLC

CRD#: 277091 / SEC#: 801-131551

RIA

Registered Investment Advisory firm - (11/29/2024 Approved)

California

Registered Investment Advisory firm - (1/4/2025 Terminated)

Colorado

Registered Investment Advisory firm - (12/16/2024 Terminated)

Illinois

Registered Investment Advisory firm - (12/5/2024 Terminated)

Iowa

Registered Investment Advisory firm - (12/5/2024 Terminated)

Kansas

Registered Investment Advisory firm - (12/5/2024 Terminated)

Michigan

Registered Investment Advisory firm - (2/20/2025 Terminated)

Minnesota

Registered Investment Advisory firm - (12/5/2024 Terminated)

Missouri

Registered Investment Advisory firm - (12/5/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - (12/5/2024 Terminated)

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Contact information

Main Address

1545 Associates Drive Suite 104, Dubuque, IA 52002

Mailing Address

Phone number

(563) 587-7840

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (9/18/2025)

Regulatory assets under management

Total Number of Accounts	1,622
AUM (Assets Under Management)	$ 136,485,205

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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Advisor Monitoring

Firm Stability Insights

Kelly F. Guncheon

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEALTH TEAMS ALLIANCE

CONTEGO CAPITAL GROUP, INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

CAMBRIDGE INVESTMENT RESEARCH, INC.

SECURITIES AMERICA, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

THE LIFE GROUP FINANCIAL SERVICES

State Registrations and Notice Filings

Exams

Series 63

Date: 3/29/2006

SIE

Date: 11/25/2014

Series 7

Date: 5/21/2006

Series 6

Date: 3/27/2006

Current Firm

THE LIFE GROUP FINANCIAL SERVICES

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE LIFE GROUP FINANCIAL SERVICES

TRUST BUT VERIFY

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