James D. Gaunt

FORMIDABLE ASSET MANAGEMENT

Cincinnati, OH 45202

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CRD#: 4848862

Professional summary

James David Gaunt, who also goes by James Gaunt, is a registered financial advisor currently at FORMIDABLE ASSET MANAGEMENT, LLC located in Cincinnati, Ohio.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Gaunt

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 James David Gaunt's CRS (Customer Relationship Summary).

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

April 21, 2017 - Present

FORMIDABLE ASSET MANAGEMENT, LLC

Office #1: 221 E. 4th Street Suite 2850, Cincinnati, OH 45202

RIA

CRD#: 167555

Cincinnati, OH

Past

March 25, 2017 - April 5, 2017

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

CINCINNATI, OH

Past

March 25, 2017 - April 5, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

CINCINNATI, OH

Past

August 28, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CINCINNATI, OH

Past

August 28, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CINCINNATI, OH

Past

November 22, 2004 - May 27, 2015

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

CINCINNATI, OH

Past

October 8, 2004 - May 27, 2015

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

CINCINNATI, OH

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".

FORMIDABLE ASSET MANAGEMENT, LLC

CRD#: 167555 / SEC#: 801-77975

RIA

Registered Investment Advisory firm - (4/22/2013 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.

Highlighted states indicate IAR registrations

IAR

Ohio
(4/21/2017)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/14/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/2004

General Securities Representative Examination

Current Firm

FORMIDABLE ASSET MANAGEMENT, LLC

CRD#: 167555 / SEC#: 801-77975

RIA

Registered Investment Advisory firm - (4/22/2013 Approved)

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Contact information

Main Address

221 E. 4th Street Suite 2700, Cincinnati, OH 45202

Mailing Address

Phone number

(513) 655-5566

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORMIDABLE ASSET MANAGEMENT ADV 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,188
AUM (Assets Under Management)	$ 876,010,541

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.

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Advisor Monitoring

Firm Stability Insights

James D. Gaunt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James David Gaunt's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

Primary Firm SEC Registration

FORMIDABLE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/14/2004

SIE

Date: 4/5/2017

Series 7

Date: 10/7/2004

Current Firm

FORMIDABLE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FORMIDABLE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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