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DG

David J. Gauthe

N.I.S. FINANCIAL SERVICES
Kansas City, MO 64106
Some features on this profile are disabled
CRD#: 852239
DG

Professional summary

David Joseph Gauthe, who also goes by David J Gauthe, is a registered financial professional currently at N.I.S. FINANCIAL SERVICES, INC. located in Kansas City, Missouri.

David is registered as a RR (Registered Representative) and started their career in finance in 1978. David has worked at 1 firm and has passed the Series 6TO, SIE and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David J Gauthe

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) - BD

Click below to view David Joseph Gauthe'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

May 18, 1978 - Present

N.I.S. FINANCIAL SERVICES, INC.

Office #1: 500 E. 9th St., Kansas City, MO 64106
BD
CRD#: 5361
Kansas City, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Louisiana
(1/1/1983)

Exams

General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 5/13/1978
Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NF
N.I.S. FINANCIAL SERVICES, INC.
I.C.H. FINANCIAL SERVICES, INC. | N.I.S. FINANCIAL SERVICES, INC.

CRD#: 5361 / SEC#: , 8-15919

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
500 East 9th St., Kansas City, MO 64106
Mailing Address
P. O. Box 219103, Kansas City, MO 64121-9103
Phone number
(816) 842-8685
Established
Missouri since 02/04/1970
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (30 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AMERICO FINANCIAL LIFE AND ANNUITY INSURANCE COMPANYPARENT OF BROKER/DEALER
BURKHOLDER, JONATHAN BCEO & DIRECTOR5841348
MELTON, DAVID RAYSECRETARY & DIRECTOR2912115
SALYER, MICHELLE RENEEPRESIDENT CCO AND DIRECTOR1413146

Disclosures

Regulatory Event3

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

N.I.S. FINANCIAL SERVICES, INC.

CRD#: 5361Kansas City, MO 64106

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