Kelly F. Guncheon
THE LIFE GROUP FINANCIAL SERVICES
Plymouth, MN
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CRD#: 5081486
Professional summary
Kelly Francis Guncheon, CFP®, ChFC® is a registered financial advisor currently at THE LIFE GROUP FINANCIAL SERVICES located in Plymouth, Minnesota.
Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Kelly has worked at 7 firms and has passed the Series 63, SIE, Series 7 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.
INSURANCE PRODUCTS SALES AND SERVICES; SINCE MAY 2010; APPROXIMATELY 5% OF TIME SPENT ON THIS ACTIVITY EVERY MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Francis Guncheon'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®
CFP®
Start date: 2010
Experience
Current
October 1, 2015 - Present
THE LIFE GROUP FINANCIAL SERVICES
RIA
CRD#: 277091
Plymouth, MN
Past
July 8, 2015 - October 1, 2015
WEALTH TEAMS ALLIANCE
RIA
CRD#: 168907
MINNETONKA, MN
Past
December 9, 2014 - July 8, 2015
CONTEGO CAPITAL GROUP, INC.
RIA
CRD#: 128518
MINNETONKA, MN
Past
January 2, 2014 - November 25, 2014
FINANCIAL WEST GROUP
RIA
CRD#: 16668
MINNETONKA, MN
Past
January 2, 2014 - November 25, 2014
FINANCIAL WEST GROUP
BD
CRD#: 16668
MINNETONKA, MN
Past
June 2, 2010 - December 31, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
MINNETONKA, MN
Past
April 20, 2009 - April 14, 2010
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MINNEAPOLIS, MN
Past
March 28, 2006 - April 20, 2009
PRINCIPAL SECURITIES, INC.
BD
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".
TL
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)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(5/19/2021)
IAR
Colorado(5/14/2021)
IAR
Iowa(2/16/2018)
IAR
Minnesota(10/1/2015)
IAR
Wisconsin(1/16/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TL
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)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Dubuque, IA
Mailing Address
Phone number
(563) 587-7840
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,622 |
| AUM (Assets Under Management) | $ 136,485,205 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
