GG
Gregory D. Gutowski
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CRD#: 6264627
GG
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.
Gregory Daniel Gutowski was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2014. Gregory had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1) 07/28/2017 - STRATEGIC WEALTH ADVISORS - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 7/2017 - 160 hr/mth 2) 07/20/2017 - Strategic Wealth Assurance LLC - Insurance Agency - President and Managing Partner - inv rel - at reported business location(s) - start: 02/2016 - 200 hr/mth 3) 07/20/2017 - Good Life IA - Non-Variable Insurance - sells: Life, Health, Disability, LTC, Fixed, Medicare Supplements and Final Expense - inv rel - at reported business location(s) - start: 11/2016 - 100 hr/mth 4) 10/4/2017 - Good Life Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 07/21/2017 - 160 Hours Per Month/0 Hours During Securities Trading - I provide investment advisory services through Good Life Advisors LLC, an independent investment advisor firm. I started this business activity in 7/2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5) 10/4/2017 - STRATEGIC WEALTH ADVISORS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 7/26/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 6) 9/28/2017 Hope Springs Homeowner's Association - Non-Profit Board Member, Treasurer and Board Member, majority vote not required, not publicly traded, no capital raising, not providing investment advice to the board. time spent 3hr/mth
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®
NoneExperience
Past
February 22, 2018 - October 6, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEXINGTON, SC
Past
September 29, 2017 - April 19, 2024
GOOD LIFE ADVISORS, LLC
RIA
CRD#: 171898
Lexington, SC
Past
September 28, 2017 - September 28, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEXINGTON, SC
Past
September 28, 2017 - March 28, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
LEXINGTON, SC
Past
July 21, 2016 - October 23, 2017
OSAIC FS, INC.
RIA
CRD#: 3870
COLUMBIA, SC
Past
July 21, 2016 - October 23, 2017
OSAIC FS, INC.
BD
CRD#: 3870
COLUMBIA, SC
Past
April 13, 2015 - January 9, 2016
OSAIC SERVICES, INC.
RIA
CRD#: 133763
COLUMBIA, SC
Past
June 27, 2014 - January 9, 2016
OSAIC SERVICES, INC.
BD
CRD#: 133763
COLUMBIA, SC
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".
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
