Nicholas L. Gunther
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.
Nicholas Langdon Gunther was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2003. Nicholas had worked at 3 firms and has passed the Series 63, Series 28 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
January 16, 2012 - December 20, 2012
BMI CAPITAL INTERNATIONAL LLC
March 28, 2006 - November 25, 2009
CGI MERCHANT CAPITAL, LLC
May 8, 2003 - March 7, 2005
TD SECURITIES (USA) LLC
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 28
Date: 5/16/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
BMI CAPITAL INTERNATIONAL LLC
CRD#: 154670 / SEC#: , 8-68658
Contact information
FINRA licenses (8 States and Territories)
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.
