Brian A. Gunnels
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.
Brian Alan Gunnels, who also goes by Brian Alan Grunnels, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1994. Brian had worked at 4 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2023 - April 15, 2026
CARTY, HARDING & HEARN, INC.
November 19, 2021 - July 6, 2023
FNBB CAPITAL MARKETS, LLC
March 24, 2000 - March 29, 2000
BOK FINANCIAL SECURITIES, INC.
March 28, 1994 - November 30, 2016
CREWS & ASSOCIATES, 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
Current Firm
CARTY, HARDING & HEARN, INC.
CRD#: 7001 / SEC#: , 8-19082
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 20 |
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.
