Business Description

Jim Gunn is a well known financial planner serving the central Oklahoma area. With over 39 years of experience, his firm is skilled in helping clients efficiently plan their financial futures.

Jim has an undergraduate degree in accounting, a MBA and Ph.D. from the University of Arkansas. Also, before he started his financial planning practice, he served on the faculty of both the University of Arkansas and Oklahoma State University.

Gunn is affiliated with LPL Financial, ranked for 12 years as the nation’s number one independent broker/dealer.* His partnership with LPL Financial provides superior resources and support that creates the “best of both worlds” approach---enabling him to offer clients the extensive resources of a large and established firm, and the Main Street Service of an advisor who really listens to the client’s concerns. LPL Financial provides access to unbiased research from an experienced team of professionals who really know the markets. LPL Financial does not engage in investment banking and offers no proprietary products, so Gunn is totally free to recommend the investment options that best suit the client’s personal goals.

*Based on total revenues, as reported in Financial Planning magazine, June 1996-2008.
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Broker-Dealer Disclaimer
Securities offered through LPL Financial, Member FINRA-SIPC

General Information

Gender:

Male

CRD#:

1030124

Insurance License#:

157085

Name of Broker/Dealer:

LPL Financial

States Licensed in:

AR, GA, IN, KS, MO, MS, NC, OK, PA, TN, TX, WA, WI

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Individual Investors

Services

Investment Types:

Mutual Funds, Bonds, Stocks, Annuities, Insurance, Alternative Investments, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Certified Public Accountant (CPA)

Securities Licenses:

Series 26, Series 6, Series 7, Series 24, Series 63

Insurance and Annuity Licenses:

Life, Annuity, Variable Life, Variable Annuity

Financial Organization Memberships:

National Association of Insurance and Financial Advisors (NAIFA)

Firm Information

Number of Advisors in Office:

Up to 10 employees

Firm's Number of Clients:

100+

Firm's Number of Planning Clients:

Firm's Number of Managed Clients:

Assets Managed by Firm:

$25,000,000

Advisor's Number of Clients:

100+

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$25,000,000

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$50,000-100,000

Compensation Methods:

Based on Assets

Fee % Based on Assets:

1%-1.75%

Hourly Rate:

N/A

Flat Fee Rate:

N/A

Minimum Fee Charged for Managed Accounts:

N/A

Minimum Fee Charged for Hourly Planning Accounts:

N/A

Minimum Fee Charged for Flat Fee Accounts:

N/A

Prepared By:

James A. Gunn, Jr.