Richard L. Gunderson
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 Lewis Gunderson, who also goes by Dick Gunderson, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1968. Richard had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2009 - October 23, 2025
ISAAK BOND INVESTMENTS, INC.
August 12, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
November 17, 1989 - August 12, 2006
PIPER SANDLER & CO.
August 2, 1988 - October 10, 1989
U.S. BANCORP INVESTMENTS, INC.
March 4, 1981 - March 15, 1988
HANIFEN, IMHOFF INC.
July 11, 1979 - March 20, 1981
E. F. HUTTON & COMPANY INC
September 12, 1973 - August 2, 1979
GKB, INC.
April 21, 1972 - June 28, 1974
INCOME INVESTORS INCORPORATED
April 23, 1968 - May 5, 1972
GKB, 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 000
Date: 2/24/1971
General Securities Principal ExaminationSeries 1
Date: 4/17/1968
Registered Representative ExaminationSeries 40
Date: 2/17/1971
Registered Principal ExaminationCurrent Firm
ISAAK BOND INVESTMENTS, INC.
CRD#: 7413 / SEC#: , 8-21410
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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