Katherine A. Gudgel

GILBERT & COOK

West Des Moines, IA 50265

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CRD#: 6190279

Professional summary

Katherine Ann Gudgel, who also goes by Kate Stephenitch, Katherine Ann Stephenitch, is a registered financial advisor currently at GILBERT & COOK, INC. located in West Des Moines, Iowa.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Katherine has worked at 2 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kate Stephenitch | Katherine Ann Stephenitch

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.

Juice Plus Company - franchise owner - non investment related - not during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Ann Gudgel's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 11, 2022 - Present

GILBERT & COOK, INC.

Office #1: 5058 Grand Ridge Drive, West Des Moines, IA 50265

RIA

CRD#: 283112

West Des Moines, IA

Past

August 8, 2013 - February 23, 2017

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DES MOINES, IA

Past

July 5, 2013 - February 23, 2017

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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".

GILBERT & COOK, INC.

CRD#: 283112 / SEC#: 801-107546

RIA

Registered Investment Advisory firm - (4/14/2016 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

Iowa
(12/11/2022)

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

General Industry/Product Exam

SIE

Date: 2/23/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/3/2013

General Securities Representative Examination

Current Firm

GILBERT & COOK, INC.

CRD#: 283112 / SEC#: 801-107546

RIA

Registered Investment Advisory firm - (4/14/2016 Approved)

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Contact information

Main Address

5058 Grand Ridge Drive, West Des Moines, IA 50265

Mailing Address

Phone number

(515) 270-6444

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (10/22/2025)

WRAP BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,429
AUM (Assets Under Management)	$ 1,361,575,720

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/18/2024	Cover Page	Report
01/17/2024	Cover Page	Report

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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Katherine A. Gudgel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Ann Gudgel's CRS (Customer Relationship Summary).

Certified licenses

Experience

GILBERT & COOK, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

GILBERT & COOK, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 2/23/2017

Series 7

Date: 7/3/2013

Current Firm

GILBERT & COOK, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GILBERT & COOK, INC.

TRUST BUT VERIFY

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