Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 21, 2017 indicate that California-based Principal Securities broker/adviser Robert Gunning was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gunning (CRD# 1782016).
Robert Gunning has spent 30 years in the securities industry and was most recently registered with Principal Securities in Fresno, California (2010-2018). Previous registrations include Wedbush Morgan Securities in Fresno, California (2009-2010); UBS Financial Services in Fresno, California (2003-2009); Citigroup Global Markets in New York, New York (1993-2003); Lehman Brothers in New York, New York (1992-1993); and Painewebber in Weehawken, New Jersey (1988-1992). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 25, 1991; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 29, 1987; Series 3 (National Commodity Futures Examination), which he obtained on December 13, 1996; Series 7 (General Securities Representative Examination), which he obtained on December 12, 1987; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on December 20, 1994. He is currently not registered with any state, firm, or self-regulatory organization (SRO).
According to his BrokerCheck report, he has received two denied customer complaints and was discharged from his former employer in connection to alleged rule violations.