Robert Gunning, financial advisor Fresno CA
71 score

Robert Gunning

CRD Number: 1782016
Current Firm: Principal Securities, Inc.

Robert Gunning (CRD# 1782016) is an Investment Advisor Representative working at Principal Securities, Inc. in Fresno, CA and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Principal Life Insurance Co Fresno, CA Jan 2010 - Current 6
Princor Financial Services Corp Fresno, CA Jan 2010 - Current 6
Wedbush Morgan Securities Fresno, CA Jan 2009 - Dec 2009 < 1
Ubs Financial Services Inc. Fresno, CA Nov 2003 - Jan 2009 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1987
S65 NASAA Investment Advisors Law Examination Nov 1991
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Robert H. Gunning
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    1,622
    MILLIONS
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
71

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