Thomas H. Gunn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Harper Gunn, who also goes by Thomas H Gunn, Tom Gunn, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1979. Thomas had worked at 6 firms and has passed the Series 65, Series 63, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2010 - March 22, 2023
INVESTMENT ADVISORS, INC.
November 25, 2002 - March 27, 2006
KUHNS BROTHERS SECURITIES CORPORATION
May 15, 1989 - November 19, 2002
LAIDLAW GLOBAL SECURITIES, INC.
February 6, 1989 - May 20, 1989
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 16, 1984 - January 9, 1989
PRIMUS FINANCIAL SERVICES, INC.
August 28, 1979 - February 10, 1984
E. F. HUTTON & COMPANY 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
Exams
Series 5
Date: 10/22/1981
Interest Rate Options ExaminationCurrent Firm
INVESTMENT ADVISORS, INC.
CRD#: 139332 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 29 |
| AUM (Assets Under Management) | $ 8,643,389 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
