Simon W. Gumkowski
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.
Simon Walter Gumkowski, who also goes by Simon Gumkowski, was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 2019. Simon had worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2019 - July 23, 2024
OPUS INVESTMENT MANAGEMENT, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OPUS INVESTMENT MANAGEMENT, INC.
CRD#: 107569 / SEC#: 801-44189
Contact information
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 11,392,216,813 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2023 | ||
| 11/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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