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Detailed Report
FRANCIS MICHAEL GUTRICH
FRANCIS M GUTRICH
CRD#: 1628258
IA
Investment Adviser
B
Broker
APOLLON FINANCIAL, LLCCRD#: 321217 2001 Butterfield Road
Suite 1000
Downers Grove, IL 60515
LPL FINANCIAL LLCCRD#: 6413 2001 BUTTERFIELD RD STE 1000
DOWNERS GROVE, IL 60515
Registration History
199019952000200520102015202020252 FIRMS1989 - 1994 (5 years)2 FIRMS2012 - 2017 (4 years)IAAPOLLON FINANCIAL, LLC (CRD# 321217)2024 - Present (<1 year)BLPL FINANCIAL LLC (CRD# 6413)2017 - Present (8 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2012 (7 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1999 - 2005 (6 years)BFIRST CHICAGO NBD INVESTMENT S... (CRD# 17516)1997 - 1999 (2 years)BLIBERTY SECURITIES CORPORATION (CRD# 14416)1996 - 1997 (<1 year)BGNA SECURITIES, INC. (CRD# 10465)1994 - 1996 (2 years)BALLIED CAPITAL GROUP, INC. (CRD# 13146)1988 - 1989 (<1 year)BGRAYSTONE NASH, INC. (CRD# 10635)1988 - 1988 (<1 year)BJOSEPH P. MCGIVNEY AND ASSOCIA... (CRD# 2725)1987 - 1988 (1 year)IAHIGHPOINT PLANNING PARTNERS (CRD# 316636)2021 - 2024 (2 years)IAHIGHPOINT PLANNING PARTNERS (CRD# 163768)2017 - 2021 (4 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2011 - 2012 (1 year)
Disclosure(s)
View By:
1/19/2012
Customer Dispute
Denied
License(s)

State Registrations

B
Colorado 9/5/2017
B
Maryland 7/23/2020
B
Florida 12/1/2020
B
Nevada 2/23/2017
B
Illinois 1/6/2017
B
South Carolina 4/4/2017
IA
Illinois 9/24/2024
B
Tennessee 10/4/2021
B
Indiana 2/23/2017
B
Texas 11/6/2019
B
Louisiana 4/4/2017
B
Wisconsin 2/23/2017

SRO Registrations

B
 FINRA

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
APOLLON FINANCIAL, LLC (CRD#:321217)
2001 Butterfield Road Suite 1000, Downers Grove, IL 60515
Registered with this firm since 9/24/2024
B
LPL FINANCIAL LLC (CRD#:6413)
2001 BUTTERFIELD RD STE 1000, DOWNERS GROVE, IL 60515
Registered with this firm since 1/6/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/08/2021 - 10/02/2024 HIGHPOINT PLANNING PARTNERS (CRD#:316636) ORLAND PARK, IL
IA
 01/06/2017 - 12/31/2021 HIGHPOINT PLANNING PARTNERS (CRD#:163768) Orland Park, IL
IA
 10/01/2012 - 01/25/2017 J.P. MORGAN SECURITIES LLC (CRD#:79) ORLAND PARK, IL
B
 10/01/2012 - 01/25/2017 J.P. MORGAN SECURITIES LLC (CRD#:79) ORLAND PARK, IL
IA
 01/01/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) FRANKFORT, IL
B
 07/06/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) FRANKFORT, IL
B
 02/01/1999 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 02/05/1997 - 02/01/1999 FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CRD#:17516) CHICAGO, IL
B
 07/01/1996 - 01/14/1997 LIBERTY SECURITIES CORPORATION (CRD#:14416) PURCHASE, NY
B
 08/08/1994 - 11/19/1996 GNA SECURITIES, INC. (CRD#:10465) GLEN ALLEN, VA
B
 04/18/1989 - 08/15/1994 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468) BOSTON, MA
B
 04/18/1989 - 08/15/1994 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181) BOSTON, MA
B
 10/31/1988 - 02/23/1989 ALLIED CAPITAL GROUP, INC. (CRD#:13146)
B
 06/08/1988 - 11/03/1988 GRAYSTONE NASH, INC. (CRD#:10635)
FINRA expelled the firm on 07/31/1996
B
 04/29/1987 - 05/20/1988 JOSEPH P. MCGIVNEY AND ASSOCIATES, INC. (CRD#:2725)
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.