Gunnar H. Hood
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.
Gunnar Holmes Hood was a registered financial professional .
Gunnar is a previously registered financial professional and started their career in finance in 1987. Gunnar had worked at 5 firms and has passed the Series 63, Series 6, Series 3, Series 7, Series 26, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2011 - May 22, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
September 12, 2011 - May 22, 2012
HARTFORD FUNDS DISTRIBUTORS, LLC
September 12, 2011 - May 22, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
August 10, 1989 - November 19, 2002
CHARLES SCHWAB & CO., INC.
June 24, 1987 - June 16, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 8
Date: 12/2/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
CRD#: 37819 / SEC#: , 8-48097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TALCOTT HOLDINGS, LP | PARENT OF APPLICANT | |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 2239639 |
| DAGNAULT, CHRISTOPHER JOHN | CEO, PRESIDENT AND DIRECTOR | 2311161 |
| MATTHEWS, STILA HSUANPING | AML OFFICER AND ASSISTANT SECRETARY | 5745148 |
| ROSA, ANTONIO T JR | FINOP, CFO AND TREASURER | 6963656 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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