Kurt Alan Gutman

Current Employers

Employment History

• 06/2009 → Present
  Compass Financial Advisors
  Ft. Wayne, IN
• 05/2016 → 12/2020
  Harbour Investments, Inc
  Madison, WI
• 01/2021 → Present
  Ausdal Financial Partners, Inc
  Davenport, IA

Previous Registrations

• 2003-05-27 → 2009-06-03
  J.J.B. Hilliard, W.L. Lyons, Llc
  Fort Wayne, IN
  Fort Wayne, IN

Other Businesses

1) COMPASS FINANCIAL ADVISORS - DBA - POSITION: IAR - NATURE: INVESTMENT ADVISORY SERVICES - INVESTMENT RELATED: YES - START DATE: 06/2009 - ADDRESS: 9933 DUPONT CR W, FORT WAYNE, IN 46825. APPROX 160 HOURS PER MONTH/7 HOURS DURING SECURITIES TRADING. REGISTERED REPRESENTATIVE FOR AUSDAL FINANCIAL PARTNERS. BUSINESS STARTED 1/2021. COMPASS AND AUSDAL ARE INDEPENDENTLY OWNED AND OPERATED AND ARE SEPARATE ENTITIES. APPROX. 160 HOURS PER MONTH/7 HOURS DURING SECURITIES TRADING. 2) INSURANCE;INVESTMENT RELATED; FORT WAYNE, IN;INSURANCE SALES; AGENT; ACTIVITY BEGAN 08/1996; I DEVOTE APP 10 HOURS TO THIS ACTIVITY WITH ALL 10 HOURS DURING TRADING HOURS; SALE OF INSURANCE PRODUCTS. 3) ALLEN COUNTY ECONOMIC DEVELOPMENT COMMISSION; NOT INVESTMENT RELATED; FORT WAYNE, IN; CIVIC ORGANIZATION WHOSE PRIMARY DUTY IS CONSIDERATION OF APPLICATIONS FOR INDUSTRIAL REVENUE BONDS; BOARD MEMBER; ACTIVITY BEGAN 01/2024; I DEVOTE APPX 1 HOUR PER MONTH TO THIS ACTIVITY DURING TRADING HOURS; ASSIST COMMISSION WITH APPLICATIONS FOR INDUSTRIAL REVENUE BONDS. 4) CONCORDIA LUTHERAN HIGH SCHOOL; NOT INVESTMENT RELATED; FORT WAYNE, IN; BOARD OF DIRECTORS THAT REPRESENT CONCORDIA EDUCATIONAL ASSOCIATION; BOARD MEMBER; ACTIVITY BEGAN OCT 2024; I DEVOTE APPX 5 HOURS TO THIS ACTIVITY WITH 2 OF THOSE HOURS DURING TRADING HOURS; MAINTAIN SUSTAINABILITY OF THE MINISTRY AND IT MAY INVOLVE FUNDRAISING IN THE FUTURE.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-01
• S63 Uniform Securities Agent State Law Examination
  1997-02-21

Other Names

• Kurt A Gutman