Richard U. Guntner
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.
Richard Urban Guntner, who also goes by Rick Gunter, Rick Guntner, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2018 - April 13, 2020
LIFEMARK SECURITIES CORP.
July 14, 2015 - June 26, 2017
FORESTERS EQUITY SERVICES, INC.
September 4, 2012 - July 17, 2013
ALLSTATE FINANCIAL SERVICES, LLC
March 30, 2011 - August 8, 2012
FORESTERS EQUITY SERVICES, INC.
February 9, 2010 - January 24, 2011
MML INVESTORS SERVICES, LLC
January 14, 2008 - October 28, 2009
WOODSTOCK FINANCIAL GROUP, INC.
October 16, 2007 - January 17, 2008
FORTUNE FINANCIAL SERVICES, INC.
May 19, 2006 - October 8, 2007
FORTUNE FINANCIAL SERVICES, INC.
October 24, 2005 - May 5, 2006
CETERA WEALTH SERVICES, LLC
April 17, 2002 - October 24, 2005
BLUE VASE SECURITIES, LLC
February 9, 1999 - April 19, 2002
LIFEMARK SECURITIES CORP.
January 17, 1997 - February 2, 1999
NEW ENGLAND SECURITIES
January 1, 1996 - December 23, 1996
USLIFE EQUITY SALES CORP.
August 24, 1992 - December 31, 1993
NEW ENGLAND SECURITIES
May 26, 1989 - December 14, 1990
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
