JG
James R. Guntle
DMG SECURITIES
Great Falls, VA 22066-2643
Some features on this profile are disabled
CRD#: 5884289
JG
Professional summary
James Robert Guntle III is a registered financial professional currently at DMG SECURITIES, INC. located in Great Falls, Virginia.
James is registered as a RR (Registered Representative) and started their career in finance in 2011. James has worked at 1 firm and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 86, Series 55, Series 87, Series 79, Series 7, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view James Robert Guntle III'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
February 2, 2011 - Present
DMG SECURITIES, INC.
Office #1: 746 Walker Road Suite 10, Great Falls, VA 22066-2643BD
CRD#: 15480
Great Falls, VA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(4/9/2020)
RR
Alaska(4/6/2020)
RR
Arizona(4/6/2020)
RR
Arkansas(4/9/2020)
RR
California(4/6/2020)
RR
Colorado(4/6/2020)
RR
Connecticut(4/6/2020)
RR
Delaware(4/6/2020)
RR
District of Columbia(2/2/2011)
RR
Florida(4/6/2020)
RR
Georgia(4/6/2020)
RR
Hawaii(4/9/2020)
RR
Idaho(4/9/2020)
RR
Illinois(4/6/2020)
RR
Indiana(4/9/2020)
RR
Iowa(4/6/2020)
RR
Kansas(4/6/2020)
RR
Kentucky(4/9/2020)
RR
Louisiana(4/9/2020)
RR
Maine(4/9/2020)
RR
Maryland(2/2/2011)
RR
Massachusetts(4/6/2020)
RR
Michigan(4/9/2020)
RR
Minnesota(4/9/2020)
RR
Mississippi(4/9/2020)
RR
Missouri(4/9/2020)
RR
Montana(4/9/2020)
RR
Nebraska(4/9/2020)
RR
Nevada(4/6/2020)
RR
New Hampshire(4/9/2020)
RR
New Jersey(1/19/2016)
RR
New Mexico(4/9/2020)
RR
New York(4/6/2020)
RR
North Carolina(4/6/2020)
RR
North Dakota(4/9/2020)
RR
Ohio(4/6/2020)
RR
Oklahoma(4/9/2020)
RR
Oregon(4/9/2020)
RR
Pennsylvania(10/29/2018)
RR
Puerto Rico(4/9/2020)
RR
Rhode Island(4/9/2020)
RR
South Carolina(4/9/2020)
RR
South Dakota(4/9/2020)
RR
Texas(4/6/2020)
RR
Utah(4/9/2020)
RR
Vermont(4/9/2020)
RR
Virginia(2/28/2011)
RR
Washington(4/6/2020)
RR
West Virginia(4/8/2020)
RR
Wisconsin(4/9/2020)
RR
Wyoming(4/9/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/30/2013
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DMG SECURITIES, INC.
BROKER DEALER SERVICES, INC. | FLORIDA BROKER DEALER SERVICES, INC. | DMG SECURITIES,INC. | DMG SECURITIES, INC.
CRD#: 15480 / SEC#: , 8-32235
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
746 Walker Road Suite 10, Great Falls, VA 22066-2643
Mailing Address
746 Walker Road Suite 10, Great Falls, VA 22066-2643
Phone number
(703) 757-9900
Established
Delaware since 01/23/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
