James Donald Gunn

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2010 → 04/2021
  Morgan Stanley Smith Barney
  San Jose, CA
• 01/2015 → 04/2021
  Morgan Stanley Private Bank, National Association
  New York, NY
• 04/2021 → Present
  Wells Fargo Clearng Services, Llc
  San Francisco, CA
• 01/2015 → 04/2021
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2010-09-13 → 2021-05-12
  Morgan Stanley
  Spokane, WA
  San Jose, CA
  Spokane, WA
  Spokane, WA
• 2003-07-01 → 2010-09-15
  Wells Fargo Clearing Services, Llc
  Spokane, WA
  East Palo Alto, CA
  Palo Alto, CA
• 2000-07-20 → 2003-07-01
  Prudential Equity Group, Llc
  Palo Alto, CA

Other Businesses

TANGLEWOOD POINT HOA, NOT INVT RELATED, COOLIN, ID, SECRETARY/TREASURER, START DATE 7/1/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, FACILITATE ANNUAL TAX FILING, COLLECTION OF HOA MEMBERSHIP DUES AND RECORDING ANNUAL HOA MEETING MINUTES.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-11-05
• S63 Uniform Securities Agent State Law Examination
  1988-11-09

Other Names

• Jim Gunn