HG
Hans T. Gappy
WESTMINSTER FINANCIAL ADVISORY CORP
Westlake, OH 44145
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CRD#: 7271587
HG
Professional summary
Hans Thomas Gappy is a registered financial advisor currently at WESTMINSTER FINANCIAL ADVISORY CORP located in Westlake, Ohio and WESTMINSTER FINANCIAL SECURITIES, INC. located in Westlake, Ohio.
Hans is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Hans has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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.
1. Auburn Hills Oakland Christian School; 1627 Roseland Ave, Royal Oak, MI, 48073; High School Basketball; Head Varsity Boys Coach, August, 2023; 10-12 Hours per Week; Not During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Hans Thomas Gappy'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®
NoneExperience
Current
January 10, 2024 - Present
WESTMINSTER FINANCIAL ADVISORY CORP
Office #1: 1991 Crocker Rd, Ste 220, Westlake, OH 44145RIA
CRD#: 110283
Westlake, OH
Current
January 10, 2024 - Present
WESTMINSTER FINANCIAL SECURITIES, INC.
Office #1: 1991 Crocker Road, Ste 220, Westlake, OH 44145BD
CRD#: 20677
Westlake, OH
Past
October 18, 2021 - January 18, 2024
STIFEL INDEPENDENT ADVISORS, LLC
RIA
CRD#: 28218
WESTLAKE, OH
Past
October 18, 2021 - January 18, 2024
STIFEL INDEPENDENT ADVISORS, LLC
BD
CRD#: 28218
WESTLAKE, OH
Past
September 28, 2020 - October 22, 2021
WESTMINSTER FINANCIAL ADVISORY CORP
RIA
CRD#: 110283
Royal Oak, MI
Past
July 14, 2020 - October 22, 2021
WESTMINSTER FINANCIAL SECURITIES, INC.
BD
CRD#: 20677
BEAVERCREEK, OH
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".
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
Registered Investment Advisory firm - (6/15/1987 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/10/2024)
IAR
California(1/10/2024)
RR
Connecticut(6/11/2025)
IAR
Connecticut(6/11/2025)
RR
Florida(1/10/2024)
IAR
Florida(2/2/2024)
RR
Georgia(1/10/2024)
IAR
Georgia(1/12/2024)
RR
Illinois(1/10/2024)
IAR
Illinois(1/11/2024)
RR
Maryland(1/10/2024)
IAR
Maryland(1/10/2024)
RR
Michigan(1/10/2024)
IAR
Michigan(1/10/2024)
RR
Minnesota(1/10/2024)
IAR
Minnesota(1/12/2024)
RR
New York(1/10/2024)
RR
Ohio(1/10/2024)
IAR
Ohio(1/19/2024)
RR
Pennsylvania(1/10/2024)
IAR
Pennsylvania(1/11/2024)
RR
South Carolina(1/10/2024)
IAR
South Carolina(1/12/2024)
RR
Texas(1/10/2024)
IAR
Texas(1/10/2024)
RR
Virginia(1/10/2024)
IAR
Virginia(1/22/2024)
RR
Wisconsin(1/10/2024)
IAR
Wisconsin(1/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/14/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
Registered Investment Advisory firm - (6/15/1987 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
50 Chestnut Street Suite A-400, Beavercreek, OH 45440
Mailing Address
Phone number
(937) 898-5010
Established
Firm type
Fiscal year end
# of Employees
46
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,255 |
| AUM (Assets Under Management) | $ 1,224,901,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2024 | ||
| 02/26/2024 | ||
| 12/09/2022 |
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.
