GG
Gene F. Gunderson
SYNOVUS SECURITIES
COLUMBUS, GA 31901
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CRD#: 2914172
GG
Professional summary
Gene Frederick Gunderson, who also goes by Gene Frederick Genderson, is a registered financial advisor currently at SYNOVUS SECURITIES, INC. located in Columbus, Georgia.
Gene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Gene has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 50, Series 7, Series 14, Series 54, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gene Frederick Genderson
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.
SYNOVUS TRUST COMPANY | START 11/15/2022 |33 W 14TH STREET, COLUMBUS GA 31901 | NATIONAL TRUST COMPANY | OFFICER OF TRUST COMPANY AND DIRECTOR OF COMPLIANCE | 30 HRS/MO DURING TRADING HOURS | INVESTMENT RELATED | I serve as an officer of Synovus Trust Company, an affiliate of my employer Synovus Securities, Inc. I also oversee Synovus Trust Company's compliance program and manage the trust company compliance personnel.
CRS (Client Relationship Summary) - RIA
Click below to view Gene Frederick Gunderson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gene Frederick Gunderson'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®
NoneExperience
Current
January 6, 2011 - Present
SYNOVUS SECURITIES, INC.
Office #1: 33 W 14th Street 3rd Floor, Columbus, GA 31901Office #2: 33 West 14th Street 3rd Floor, Columbus, GA 31901RIA
BD
CRD#: 14023
COLUMBUS, GA
Current
April 6, 2010 - Present
SYNOVUS SECURITIES, INC.
Office #1: 33 W 14th Street 3rd Floor, Columbus, GA 31901Office #2: 33 W 14th Street 3rd Floor, Columbus, GA 31901RIA
BD
CRD#: 14023
COLUMBUS, GA
Past
June 15, 2021 - November 19, 2021
GLOBALT INVESTMENTS
RIA
CRD#: 168405
ATLANTA, GA
Past
April 9, 2008 - March 31, 2010
AMG DISTRIBUTORS, INC.
BD
CRD#: 27314
CHICAGO, IL
Past
October 20, 1998 - March 28, 2008
ASSOCIATED INVESTMENT SERVICES, INC.
BD
CRD#: 1464
GREEN BAY, WI
Past
September 5, 1997 - October 5, 1998
MARQUETTE FINANCIAL GROUP, INC.
BD
CRD#: 345
MINNEAPOLIS, MN
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".
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
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
RR
Georgia(4/8/2010)
IAR
Georgia(1/6/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
33 W 14th Street 3rd Floor, Columbus, GA 31901
Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628
Phone number
(706) 649-2327
Established
Georgia since 06/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
287
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
