James Gaunt (CRD# 4848862) is an Investment Advisor Representative working at Formidable Asset Management, LLC in Cincinnati, OH and has over 19 years of experience in the finance industry.
CRD# 6626957
Kld Wealth Management
CRD# 2076400
Ubs Financial Services Inc.
CRD# 6251091
Northwestern Mutual Investment Services,llc
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Formidable Asset Management, LLC | Cincinnati, OH | Apr 2017 - Current | 7 |
| Mml Investors Services, LLC | Cincinnati, OH | Mar 2017 - Apr 2017 | < 1 |
| Massachusetts Mutual Life Insurance Company | Springfield, MA | Jul 2016 - Apr 2017 | < 1 |
| Metlife Securities Inc. | Cincinnati, OH | Aug 2015 - Apr 2017 | 1 |
| J.j.b. Hilliard, W.l. Lyons, Inc. | Cincinnati, OH | Aug 2004 - Aug 2015 | 11 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Oct 2004 |
- OH
-
Total Assets Under Management887MILLIONS
-
Total Number of Accounts1,064ACCOUNTS
-
Average Account Value$833,491
- A percentage of assets under your management
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Pension consulting services
AZ, CA, CO, DE, FL, GA, IL, IN, KY, MA, NC, NY, OH, OR, PA, SC, TN, TX, VA, WA
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