Gerald A. Guenther
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.
Gerald Alfred Guenther was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1972. Gerald had worked at 9 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2009 - May 31, 2013
CUTTER & COMPANY, INC.
March 20, 2009 - May 31, 2013
CUTTER & COMPANY, INC.
June 21, 2004 - March 25, 2009
BUTLER, WICK & CO., INC.
June 18, 2004 - March 25, 2009
BUTLER, WICK & CO., INC.
September 18, 2002 - July 15, 2004
CITIGROUP GLOBAL MARKETS INC.
August 30, 2002 - July 15, 2004
CITIGROUP GLOBAL MARKETS INC.
October 10, 2000 - September 9, 2002
LEHMAN BROTHERS INC.
July 1, 1998 - October 19, 2000
COWEN AND COMPANY
June 4, 1981 - July 1, 1998
FINANCIAL SQUARE PARTNERS
November 22, 1977 - March 4, 1980
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
April 2, 1976 - November 17, 1976
SHEARSON HAYDEN STONE INC.
February 25, 1972 - April 15, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 1
Date: 2/22/1972
Registered Representative ExaminationCurrent Firm
CUTTER & COMPANY, INC.
CRD#: 22449 / SEC#: 801-62329, 8-39590
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,368 |
| AUM (Assets Under Management) | $ 937,030,989 |
Disclosures
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 | ||
| 12/19/2023 |
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.
