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CFP
SG
CFP

Stephanie Gudka

Osaic Institutions, INC.
33 Years of Experience
Westminster, CO
Broker
View SEC Summary
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Stephanie Gudka is a CFP-designated registered investment advisor at Osaic Institutions, INC., based in Westminster, CO, with 33 years of industry experience. Stephanie is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 16,312 clients with $6.5B in assets under management.

Osaic Institutions, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
570 advisors
Number of Clients
16,312 clients
Average Client Portfolio
$398K average
Assets Under Management
$6.5B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum advisory fee is generally 2.50% and is negotiable between the advisor and client.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

8851 Harlan Street, Westminster, CO, 80031

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Stephanie works as a Notary Public for credit union members since 2013, spending about 10-20% of her time on this activity. This work is investment-related and involves notarizing documents for current clients only.

Employment History
Current Registrations
Osaic Institutions, INC.
November 2023 - Present · 2 yrs 11 mos
Osaic Institutions, INC.Broker
November 2023 - Present · 2 yrs 11 mos
Previous Registrations
Cuso Financial Services, L.P.
January 2009 - November 2023 · 14 yrs 10 mos
Cuso Financial Services, L.P.Broker
September 2008 - November 2023 · 15 yrs 2 mos
Countrywide Investment Services, INC.
August 2007 - August 2008 · 1 yr
Countrywide Investment Services, INC.Broker
March 2006 - August 2008 · 2 yrs 5 mos
H&r Block Financial Advisors, INC.
June 2005 - March 2006 · 9 mos
H&r Block Financial Advisors, INC.Broker
June 2005 - March 2006 · 9 mos
Ifmg Securities, INC.
May 2002 - July 2005 · 3 yrs 2 mos
Ifmg Securities, INC.Broker
June 1994 - July 2005 · 11 yrs 1 mo
Liberty Securities CorporationBroker
March 1993 - September 1993 · 6 mos
Fn Investment CenterBroker
September 1990 - April 1991 · 7 mos
State Registrations34 states
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AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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