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Richard William Gundrum

Cetera Advisors LLC

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About Richard William Gundrum

Richard William Gundrum is a financial advisor at Cetera Advisors LLC, with over 30 years of experience in the industry. Richard has been registered with FINRA since February 1989, and holds multiple licenses and certifications, including Series 7, 24, 63, and 65. Richard has held previous positions at First Allied Securities, Inc. and First Montauk Securities Corp. Richard's current employment at Cetera Advisors LLC started on September 8, 2022. Richard is registered to conduct business in 10 states, including Arizona, California, Colorado, Florida, Illinois, Iowa, Montana, North Dakota, Washington, and Wisconsin.

Firm Information

Richard Gundrum is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Richard Gundrum’s Registration & Firm History

WI

09/08/2022 - Present

Cetera Advisors LLC (SLINGER WI)

WI

12/09/2008 - 09/08/2022

FIRST ALLIED SECURITIES, INC. (SLINGER WI)

WI

06/30/1997 - 12/09/2008

FIRST MONTAUK SECURITIES CORP. (SLINGER WI)

IL

06/27/1989 - 07/08/1997

B. C. ZIEGLER AND COMPANY (CHICAGO IL)

GA

02/14/1989 - 07/06/1989

FSC SECURITIES CORPORATION (ATLANTA GA)

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Licenses & Designations

IA

Issued 03/10/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/21/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/02/1997

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/11/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard William Gundrum.
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