Adam C. Gunning

PTMA INVESTMENT ADVISORS

Denver, CO 80202

Some features on this profile are disabled

CRD#: 2876007

Professional summary

Adam Casey Gunning is a registered financial advisor currently at PTMA INVESTMENT ADVISORS located in Denver, Colorado and PMA SECURITIES, LLC located in Denver, Colorado.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Adam has worked at 3 firms and has passed the Series 65, Series 66, Series 7TO, SIE, Series 7 and Series 6 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 Adam Casey Gunning'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 27, 2023 - Present

PTMA INVESTMENT ADVISORS

Office #1: 717 17th Street Suite 1850, Denver, CO 80202

RIA

CRD#: 159189

Denver, CO

Current

January 10, 2025 - Present

PMA SECURITIES, LLC

Office #1: 717 17th Street Suite 1850, Denver, CO 80202

CRD#: 30397

Denver, CO

Past

June 4, 2013 - March 19, 2015

UMB FINANCIAL SERVICES, INC.

RIA

CRD#: 17073

DENVER, CO

Past

March 8, 2013 - March 19, 2015

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PTMA INVESTMENT ADVISORS

GFAM | PUBLIC TRUST ADVISORS, LLC | PTMA INVESTMENT ADVISORS

CRD#: 159189 / SEC#: 801-72782

RIA

Registered Investment Advisory firm - (10/13/2011 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Colorado
(9/27/2023)

Colorado
(1/24/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/31/2013

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/10/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/4/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/2/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/8/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PTMA INVESTMENT ADVISORS

GFAM | PUBLIC TRUST ADVISORS, LLC | PTMA INVESTMENT ADVISORS

CRD#: 159189 / SEC#: 801-72782

RIA

Registered Investment Advisory firm - (10/13/2011 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

717 17th Street Suite 1850, Denver, CO 80202

Mailing Address

Phone number

(855) 395-3954

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	241
AUM (Assets Under Management)	$ 94,211,094,125

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.

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Adam C. Gunning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Casey Gunning's CRS (Customer Relationship Summary).

Certified licenses

Experience

PMA SECURITIES, LLC

UMB FINANCIAL SERVICES, INC.

UMB FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PTMA INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2023

Series 66

Date: 5/31/2013

Series 7TO

Date: 1/10/2025

SIE

Date: 10/4/2024

Series 7

Date: 3/2/2013

Series 6

Date: 4/8/1997

FINRA

Current Firm

PTMA INVESTMENT ADVISORS

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PTMA INVESTMENT ADVISORS

TRUST BUT VERIFY

Similar Advisors