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AG

Amy M. Guerich

STEPP & ROTHWELL
Overland Park, KS 66210
Some features on this profile are disabled
CRD#: 6946623
AG

Professional summary

Amy Marie Guerich is a registered financial advisor currently at STEPP & ROTHWELL INC located in Overland Park, Kansas.

Amy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Amy has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Marie Guerich'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

July 11, 2018 - Present

STEPP & ROTHWELL INC

Office #1: 7300 College Boulevard Suite 100, Overland Park, KS 66210
RIA
CRD#: 107999
Overland Park, KS

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".
S&
STEPP & ROTHWELL INC
STEPP & ROTHWELL INC

CRD#: 107999 / SEC#: 801-55489

RIA
Registered Investment Advisory firm - (5/26/1998 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
Kansas
(7/11/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/11/2018
Uniform Investment Adviser Law Examination

Current Firm

S&
STEPP & ROTHWELL INC
STEPP & ROTHWELL INC

CRD#: 107999 / SEC#: 801-55489

RIA
Registered Investment Advisory firm - (5/26/1998 Approved)
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Contact information

Main Address
7300 College Boulevard Suite 100, Overland Park, KS 66210
Mailing Address
Phone number
(913) 345-4800
Established
Firm type
Fiscal year end
# of Employees
25

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

STEPP & ROTHWELL, INC. PART 2B DISCLOSURE BROCHURE 7/2025 (8/18/2025)
STEPP & ROTHWELL, INC. PART 2A DISCLOSURE BROCHURE 3/2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts2,276
AUM (Assets Under Management)$ 963,693,327

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2024
Cover Page
Report
12/15/2023
Cover Page
Report
01/19/2023
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.

Company Information

STEPP & ROTHWELL INC

CRD#: 107999Overland Park, KS 66210

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