James R. Guntle
Professional summary
James Robert Guntle JR, who also goes by James R Guntle Jr, 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 1976. James has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Robert Guntle JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 18, 1994 - Present
DMG SECURITIES, INC.
Office #1: 746 Walker Road Suite 10, Great Falls, VA 22066-2643May 16, 1988 - July 14, 1994
F.N. WOLF & CO., INC.
February 2, 1987 - May 18, 1988
SHERWOOD CAPITAL, INC.
March 2, 1976 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/19/1994)
(10/20/1994)
(12/6/2000)
(12/6/2000)
(10/14/1994)
(8/10/1994)
(8/11/1994)
(10/17/1994)
(7/15/1994)
(8/16/1994)
(10/21/1994)
(10/20/1994)
(10/18/1994)
(10/17/1994)
(12/7/2000)
(10/18/1994)
(10/20/1994)
(8/10/1994)
(8/2/1994)
(10/20/1994)
(11/3/1994)
(12/6/2000)
(10/17/1994)
(12/6/2000)
(12/13/2000)
(10/17/1994)
(4/9/2001)
(12/21/2015)
(12/7/2000)
(10/28/1994)
(11/16/1994)
(12/11/2000)
(8/10/1994)
(10/19/1994)
(12/12/2000)
(7/22/1994)
(12/8/2000)
(10/31/1994)
(12/11/2000)
(11/2/1994)
(10/17/1994)
(12/6/2000)
(12/6/2000)
(7/19/1994)
(10/28/1994)
(10/18/1994)
(12/6/2000)
(12/6/2000)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
DMG SECURITIES, INC.
CRD#: 15480 / SEC#: , 8-32235
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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