James E. Gunter
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.
James Edward Gunter, CIMA®, who also goes by James E Gunter, Jamie Gunter, James Edward Gunter Mr, James Edward Gunter, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2021 - January 9, 2025
NORTHERN LIGHTS DISTRIBUTORS, LLC
May 3, 2021 - January 8, 2025
ANCHOR CAPITAL
November 29, 2019 - March 26, 2021
MML INVESTORS SERVICES, LLC
August 21, 2018 - September 27, 2019
FORESTERS FINANCIAL SERVICES, INC.
April 11, 2016 - August 10, 2018
HENNION & WALSH, INC.
September 8, 2004 - February 11, 2016
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
April 26, 2004 - September 3, 2004
CITCO MUTUAL FUND DISTRIBUTORS, INC.
July 23, 1998 - December 12, 2002
VP DISTRIBUTORS LLC
June 28, 1996 - July 6, 1998
NATIXIS DISTRIBUTION, LLC
February 20, 1992 - July 10, 1996
ALLIANCEBERNSTEIN INVESTMENTS, INC.
May 25, 1988 - January 24, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 25, 1988 - January 24, 1992
EQUITABLE ADVISORS, LLC
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
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159 / SEC#: , 8-65857
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ULTIMUS GROUP MIDCO, LLC | SOLE MEMBER | |
| EVANS, GREGORY ASHTON | FINANCIAL OPERATIONS PRINCIPAL | 4850219 |
| GUERETTE, KEVIN | PRESIDENT | 2960114 |
| JAMES, DAVID KENNETH | MANAGER | 6998721 |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER/AML OFFICER | 2217795 |
| STRAIT, WILLIAM JOHN | SECRETARY/GENERAL COUNSEL/MANAGER | 6123015 |
Disclosures
| Regulatory Event | 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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