James Robert Guntle Iii
Professional Summary
James Robert Guntle III is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
BROKER DEALER SERVICES, INC. | FLORIDA BROKER DEALER SERVICES, INC. | DMG SECURITIES,INC. | DMG SECURITIES, INC.
Contact Information
Main Address
746 Walker Road Suite 10, Great Falls, VA 22066-2643Mailing Address
746 Walker Road Suite 10, Great Falls, VA 22066-2643Phone Number
(703) 757-9900Established
Delaware since 01/23/1984Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
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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.
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State Registrations and Notice Filings
(4/9/2020)
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(10/29/2018)
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(2/28/2011)
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(4/8/2020)
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Nov 2013Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Jul 2013About the Series 87 examSeries 79 — Investment Banking Registered Representative Examination
Passed Mar 2013About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Robert Guntle III's CRS (Customer Relationship Summary).
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