RG
Robert J. Gunderson
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CRD#: 1284025
RG
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert James Gunderson, CFP®, who also goes by Bob Gunderson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bob Gunderson
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. 11/29/2017 - Robert Gunderson LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Owner - Start Date 1/1/2005 - 2 Hours Per Month. 2. 11/29/2017 - CAPITAL GROWTH LLC - Not Investment Related - At Reported Business Location(s) - Business to pay expenses out of the office - Co-owner - Start Date 1/1/2005. 3. 11/29/2017 - GUNDERSON FAMILY LLC - Not Investment Related - 10067 South Dakota HWY 1804 Pollock SD, 57648 - Other-Family Farm - Shareowner - Start Date 2015 - 1 Hours Per Month - Time Spent 1% - Shareowner of hobby hunting farm. 4. 01/05/2018 - Investment Center Advisor Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 12/01/2017 - 120 Hours Per Month/120 Hours During Trading. 5. 6/7/2018 - ROBERT GUNDERSON LLC - Investment Related - At Reported Business Location(s) - Insurance Agency - Start Date: 06/01/2018 - 160 Hours Per Month/40 Hours During Securities Trading. 6. 9/28/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary Public-SD - Start Date: 09/09/2017 - 1 Hour Per Month/1 Hour During Securities Trading - Ability to Notarize documents. 7. 10/31/2018 - No Business Name - Investment Related - Indian Shores, FL 33875 - Real Estate Rental - Started 03/01/2017 - 2 Hours Per Month/1 Hour During Securities Trading. 8. 4/2/2019 - Robert/Gail Gunderson - Investment Related - Home Based & Indian Shores, FL 33785 - Real Estate Rental - Start Date: 10/01/2018 - 1 Hour Per Month/0 Hours During Securities Trading. 9. 9/24/2020 - ICA Group Holding Co., LLC - Investment Related - 2000 S. Colorado Blvd., Annex Building Ste. 200, Denver, CO 80222 - Business Entity For Tax/Investment Purposes Only - Started 09/01/2020 - Time Spent 1%. 10. 09/20/2023 - Real Estate Rental - Joint Owner - Investment Related - West Fargo, ND - Start Date 02/01/2023 - 1 Hour Per Month/ 0 Hours During Trading 11. 01/05/2024 - Investment Center Advisors LLC - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 1/1/2024 - 3 Hrs/Mo; 0 Hr During Trading.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1989
Experience
Past
November 29, 2017 - May 30, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
ABERDEEN, SD
Past
November 29, 2017 - May 30, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
ABERDEEN, SD
Past
March 10, 2003 - December 5, 2017
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
ABERDEEN, SD
Past
May 29, 1986 - November 29, 2017
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
ABERDEEN, SD
Past
July 26, 1984 - October 3, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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".
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
