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Michelle N. Gunter

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CRD#: 2485198
MG

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.

Michelle Nicole Gunter, who also goes by Michelle N. Gunter, was a registered financial professional .

Michelle is a previously registered financial professional and started their career in finance in 1994. Michelle had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 14 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michelle N. 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.

Blog Corner

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®
None

Experience

Past

October 1, 2014 - June 15, 2021

CADMAN SECURITIES, LLC

BD
CRD#: 128344
NEW YORK, NY
Past

September 25, 2012 - September 12, 2013

IIP SECURITIES LLC

BD
CRD#: 158968
NEW YORK, NY
Past

December 4, 2003 - April 29, 2010

ALTEA CAPITAL, LLC

BD
CRD#: 127475
NEW YORK, NY
Past

April 7, 1997 - November 24, 1997

DETWILER FENTON & CO.

BD
CRD#: 1794
BOSTON, MA
Past

December 20, 1994 - June 13, 1997

EUROPA SECURITIES, LLC

BD
CRD#: 28493
OVIEDO, FL

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
RR
Series 63
Date: 11/4/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination

Current Firm

CS
CADMAN SECURITIES, LLC
ANCHOR ASSET MANAGEMENT LLC | CADMAN SECURITIES, LLC

CRD#: 128344 / SEC#: , 8-66126

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

Main Address
313 W Wolf Point Plaza Unit 3601, Chicago, IL 60654
Mailing Address
313 W Wolf Point Plaza Unit 3601, Chicago, IL 60654
Phone number
(980) 420-6301
Established
New York since 08/06/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CADMAN CAPITAL HOLDINGS, LLCOWNER
BROWN, SCOTT LESLIEFINOP6694802
RAND, PAIGE WOODSUMCHIEF COMPLIANCE OFFICER4520907
REGAN, MICHAEL TIMOTHYCEO2458924

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

CADMAN SECURITIES, LLC

CRD#: 128344

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