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Philip Gundy

Wells Fargo Advisors
43 Years of Experience
Houston, TX
3 DisclosuresBroker
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Philip Gundy is a registered investment advisor at Wells Fargo Advisors, based in Houston, TX, with 43 years of industry experience. Philip is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

825 Town and Country Ln Ste 300, Houston, TX, 77024

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
July 2008
Final
Customer Dispute
December 2004
Closed-No Action
Customer Dispute
July 2004
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Advisors
January 2008 - Present · 18 yrs 9 mos
Wells Fargo Clearing Services, LLC
January 2008 - Present · 18 yrs 9 mos
Wells Fargo Clearing Services, LLCBroker
January 2008 - Present · 18 yrs 9 mos
Previous Registrations
A. G. Edwards & Sons, INC.
November 2002 - January 2008 · 5 yrs 2 mos
A. G. Edwards & Sons, INC.Broker
June 1993 - January 2008 · 14 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1983 - June 1993 · 10 yrs
First Jersey Securities, INC.Broker
January 1983 - May 1983 · 4 mos
State Registrations19 states
ARCACOCTFLGAILLAMAMIMONMNYOHOKTNTXVAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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