JG

James E. Gunter

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CRD#: 1779407
JG

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


Are you a "fiduciary"?
No

Aliases


James E Gunter | Jamie Gunter | James Edward Gunter Mr | James Edward Gunter

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.
The advisor shows no other business activity.

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®

Experience


Past

July 8, 2021 - January 9, 2025

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

May 3, 2021 - January 8, 2025

ANCHOR CAPITAL

RIA
CRD#: 123543
ALISO VIEJO, CA
Past

November 29, 2019 - March 26, 2021

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Glen Allen, VA
Past

August 21, 2018 - September 27, 2019

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ
Past

April 11, 2016 - August 10, 2018

HENNION & WALSH, INC.

BD
CRD#: 25766
PARSIPPANY, NJ
Past

September 8, 2004 - February 11, 2016

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

April 26, 2004 - September 3, 2004

CITCO MUTUAL FUND DISTRIBUTORS, INC.

BD
CRD#: 41920
MALVERN, PA
Past

July 23, 1998 - December 12, 2002

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

June 28, 1996 - July 6, 1998

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

February 20, 1992 - July 10, 1996

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

May 25, 1988 - January 24, 1992

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

May 25, 1988 - January 24, 1992

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam

Current Firm


NL
NORTHERN LIGHTS DISTRIBUTORS, LLC
AQUARIUS FUND DISTRIBUTORS, INC. | NORTHERN LIGHTS DISTRIBUTORS, LLC | AQUARIUS FUND DISTRIBUTORS, LLC

CRD#: 126159 / SEC#: , 8-65857

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information


Main Address
4221 North 203rd Street, Suite 100, Elkhorn, NE 68022
Mailing Address
4221 North 203rd Street, Suite 100, Elkhorn, NE 68022
Phone number
(855) 891-0091
Established
Nebraska since 12/31/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Direct owners and executive officers


NamePositionCRD#
THE ULTIMUS GROUP MIDCO, LLCSOLE MEMBER
EVANS, GREGORY ASHTONFINANCIAL OPERATIONS PRINCIPAL4850219
GUERETTE, KEVINPRESIDENT2960114
JAMES, DAVID KENNETHMANAGER6998721
PRESTON, STEPHEN LYNNCHIEF COMPLIANCE OFFICER/AML OFFICER2217795
STRAIT, WILLIAM JOHNSECRETARY/GENERAL COUNSEL/MANAGER6123015

Disclosures


Regulatory Event1

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.

Company Information


NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

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