JG
John E. Gunther
POLEN CAPITAL MANAGEMENT
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 3007911
JG
Professional summary
John Edward Gunther, CIMA® is a registered financial advisor currently at POLEN CAPITAL MANAGEMENT, LLC located in Boca Raton, Florida and FORESIDE FUNDS DISTRIBUTORS LLC located in Boca Raton, Florida.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 10 firms and has passed the Series 66, SIE and Series 7 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.
1) POLEN CAPITAL MANAGEMENT LLC, BOCA RATON, FL; INVESTMENT RELATED; SENIOR RELATIONSHIP MANAGER; 160 HOURS PER MONTH, ALL DURING SECURITY TRADING HOURS.
2) IN ADDITION TO BEING AN INVESTMENT ADVISOR REPRESENTATIVE OF POLEN CAPITAL MANAGEMENT, LLC, THIS ASSOCIATE IS A REGISTERED REPRESENTATIVE OF FORESIDE FUNDS DISTRIBUTORS LLC, AN UNAFFILIATED BROKER DEALER. THE ASSOCIATE IS A REGISTERED REPRESENTATIVE FOR PURPOSES OF FORESIDE FUNDS DISTRIBUTORS LLC.
CRS (Client Relationship Summary) - RIA
Click below to view John Edward Gunther'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®
Experience
Current
March 19, 2012 - Present
POLEN CAPITAL MANAGEMENT, LLC
Office #1: 1825 Nw Corporate Blvd. Suite 300, Boca Raton, FL 33431RIA
CRD#: 106093
Boca Raton, FL
Current
June 2, 2011 - Present
FORESIDE FUNDS DISTRIBUTORS LLC
Office #1: 1825 Nw Corporate Boulevard Suite 300, Boca Raton, FL 33431BD
CRD#: 31334
Boca Raton, FL
Past
August 8, 2005 - September 30, 2010
DAVID M POLEN SECURITIES, LLC
BD
CRD#: 7939
BOCA RATON, FL
Past
August 13, 2004 - July 5, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MARGATE, FL
Past
August 6, 2004 - July 5, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
April 23, 2003 - August 4, 2004
OPPENHEIMER ASSET MANAGEMENT
RIA
CRD#: 105559
NEW YORK, NY
Past
January 3, 2003 - August 4, 2004
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
BOCA RATON, FL
Past
January 3, 2003 - August 4, 2004
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
August 30, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
RIA
CRD#: 630
BOCA RATON, FL
Past
July 29, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
July 19, 2002 - August 6, 2002
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
NEW YORK, NY
Past
January 13, 2001 - August 6, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
February 8, 2000 - January 13, 2001
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
October 1, 1998 - February 2, 2000
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
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".
PC
POLEN CAPITAL MANAGEMENT, LLC
POLEN CAPITAL MANAGEMENT, INC. | POLEN CAPITAL MANAGEMENT, LLC
CRD#: 106093 / SEC#: 801-15180
RIA
Registered Investment Advisory firm - (4/7/1980 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.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
Alabama(1/5/2021)
RR
Alaska(1/5/2021)
RR
Arizona(1/5/2021)
RR
Arkansas(1/5/2021)
RR
California(6/2/2011)
RR
Colorado(1/5/2021)
RR
Connecticut(1/5/2021)
RR
Delaware(6/2/2011)
RR
District of Columbia(6/2/2011)
RR
Florida(6/2/2011)
IAR
Florida(3/19/2012)
RR
Georgia(6/2/2011)
RR
Hawaii(1/5/2021)
RR
Idaho(1/5/2021)
RR
Illinois(1/5/2021)
RR
Indiana(1/5/2021)
RR
Iowa(1/5/2021)
RR
Kansas(1/5/2021)
RR
Kentucky(1/5/2021)
RR
Louisiana(1/5/2021)
RR
Maine(1/5/2021)
RR
Maryland(6/2/2011)
RR
Massachusetts(1/5/2021)
RR
Michigan(1/5/2021)
RR
Minnesota(1/5/2021)
RR
Mississippi(1/5/2021)
RR
Missouri(1/5/2021)
RR
Montana(1/5/2021)
RR
Nebraska(1/5/2021)
RR
Nevada(1/5/2021)
RR
New Hampshire(1/5/2021)
RR
New Jersey(1/5/2021)
RR
New Mexico(1/5/2021)
RR
New York(1/5/2021)
RR
North Carolina(6/3/2011)
RR
North Dakota(1/5/2021)
RR
Ohio(1/5/2021)
RR
Oklahoma(1/5/2021)
RR
Oregon(1/5/2021)
RR
Pennsylvania(1/5/2021)
RR
Puerto Rico(1/25/2018)
RR
Rhode Island(1/5/2021)
RR
South Carolina(6/2/2011)
RR
South Dakota(1/5/2021)
RR
Texas(6/2/2011)
IAR
Texas(1/21/2016)
RR
Utah(1/5/2021)
RR
Vermont(1/5/2021)
RR
Virgin Islands(1/25/2018)
RR
Virginia(6/2/2011)
RR
Washington(1/5/2021)
RR
West Virginia(1/5/2021)
RR
Wisconsin(1/5/2021)
RR
Wyoming(1/5/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PC
POLEN CAPITAL MANAGEMENT, LLC
POLEN CAPITAL MANAGEMENT, INC. | POLEN CAPITAL MANAGEMENT, LLC
CRD#: 106093 / SEC#: 801-15180
RIA
Registered Investment Advisory firm - (4/7/1980 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
1825 Nw Corporate Blvd. Suite 300, Boca Raton, FL 33431
Mailing Address
Phone number
+1 (561) 241-2425
Established
Firm type
Fiscal year end
# of Employees
229
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,732 |
| AUM (Assets Under Management) | $ 37,703,918,773 |
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
POLEN CAPITAL MANAGEMENT, LLC
CRD#: 106093Boca Raton, FL 33431TRUST BUT VERIFY
Monitor John Gunther
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
