Kelly GundersonCRD Number: 1281005
Current Firm: Ubs Financial Services Inc.
Kelly Gunderson (CRD# 1281005) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Tacoma, WA and has over 33 years of experience in the finance industry.
Byrne & Company Wealth Management, LLC
Northern Lights Advisors, Inc.
Northwest Capital Management Inc.
|Ubs Financial Services Inc.||Tacoma, WA||Apr 2009 - Current||8|
|Citigroup Global Markets Inc.||Federal Way, WA||Jul 1993 - Apr 2009||15|
|Shearson Lehman/american Express||Federal Way, WA||May 1984 - Oct 2007||23|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1984|
|S65||NASAA Investment Advisors Law Examination||Jul 1992|
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
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, 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, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV