James L. Mahnke

GAMMA INVESTMENT MANAGEMENT LLC

Lake Elmo, MN

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CRD#: 2481652

Professional summary

James Luther Mahnke is a registered financial advisor currently at GAMMA INVESTMENT MANAGEMENT LLC located in Lake Elmo, Minnesota.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. James has worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Luther Mahnke's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 13, 2021 - Present

GAMMA INVESTMENT MANAGEMENT LLC

RIA

CRD#: 304685

Lake Elmo, MN

Past

November 27, 1996 - December 31, 2000

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(9/13/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/30/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/28/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/26/1996

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 5/24/1994

National Commodity Futures Examination

Current Firm

GAMMA INVESTMENT MANAGEMENT LLC

CRD#: 304685 / SEC#:

Minnesota

Registered Investment Advisory firm - (9/28/2021 Approved)

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Contact information

Main Address

Lake Elmo, MN

Mailing Address

Phone number

(651) 270-1254

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 1,152,183

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James L. Mahnke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Luther Mahnke's CRS (Customer Relationship Summary).

Certified licenses

Experience

GAMMA INVESTMENT MANAGEMENT LLC

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2021

Series 63

Date: 2/28/1997

Series 7

Date: 11/26/1996

Series 3

Date: 5/24/1994

Current Firm

GAMMA INVESTMENT MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GAMMA INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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