Frank Gundrum, financial advisor Slinger WI
83 score

Frank Gundrum

CRD Number: 1066523
Current Firm: Mml Investors Services, LLC

Frank Gundrum (CRD# 1066523) is an Investment Advisor Representative working at Mml Investors Services, LLC in Slinger, WI and has over 34 years of experience in the finance industry.

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Company Name Location Dates Years
Mml Investors Services Inc. Slinger, WI Apr 2008 - Current 8
Massmutual Slinger, WI Mar 2008 - Current 8
Northbrook Insurance Associates Inc. Slinger, WI Jan 1984 - Current 32
Prudential Insurance Co Milwaukee, WI Feb 1975 - Apr 2008 33
Pruco Securities Corporation Slinger, WI Feb 1975 - Apr 2008 33
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1982
S65 NASAA Investment Advisors Law Examination Oct 2000
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Frank N. Gundrum
Phone Number: (413)737-8400
Registered State(s):
  • WI
By the Numbers
  • Total Assets Under Management
    666
    MILLIONS
  • Total Number of Accounts
    3,874
    ACCOUNTS
  • Average Account Value
    $171,955
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
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

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

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BADGES
83

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