Gary J. 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.
Gary James Gunderson, who also goes by Gary J Gunderson, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1997. Gary had worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2021 - September 26, 2023
FISHER INVESTMENTS
November 4, 2019 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 4, 2019 - January 11, 2021
TD AMERITRADE, INC.
November 4, 2019 - January 11, 2021
TD AMERITRADE, INC.
December 21, 2017 - October 24, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 21, 2017 - October 24, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 4, 2015 - November 30, 2017
HARRISDIRECT LLC
March 4, 2015 - November 30, 2017
E*TRADE SECURITIES LLC
July 5, 2012 - March 10, 2015
CHARLES SCHWAB & CO., INC.
July 5, 2012 - March 10, 2015
CHARLES SCHWAB & CO., INC.
November 29, 2011 - June 20, 2012
HARRISDIRECT LLC
November 29, 2011 - June 20, 2012
E*TRADE SECURITIES LLC
May 6, 2008 - December 1, 2011
TD AMERITRADE, INC.
May 6, 2008 - December 1, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 6, 2008 - December 1, 2011
TD AMERITRADE, INC.
January 1, 2008 - May 7, 2008
FIDELITY BROKERAGE SERVICES LLC
September 20, 2007 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
October 9, 2006 - May 7, 2008
STRATEGIC ADVISERS LLC
September 19, 2001 - September 6, 2007
FIDELITY BROKERAGE SERVICES LLC
February 21, 2001 - August 30, 2001
COASTAL SECURITIES, INC.
October 19, 1999 - March 8, 2001
FIDELITY BROKERAGE SERVICES LLC
October 31, 1997 - September 22, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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: 3/29/2024
General Securities Representative ExaminationSeries 55
Date: 3/2/2001
Limited Representative-Equity Trader ExamCurrent Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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