Adam Gunning is a registered investment advisor, based in Denver, CO, with 4 years of industry experience.
Location
717 17th Street, Suite 1850, Denver, CO, 80202
Get directionsHistory
Regulatory History (1)
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.
Criminal
October 1992Final Disposition
Employment History
Current Registrations
Pma Securities, LLC
January 2025 - Present · 1 yr 3 mos
Pma Securities, LLCBroker
January 2025 - Present · 1 yr 3 mos
Ptma Investment Advisors
September 2023 - Present · 2 yrs 7 mos
Previous Registrations
Umb Financial Services, INC.
June 2013 - March 2015 · 1 yr 9 mos
Umb Financial Services, INC.Broker
March 2013 - March 2015 · 2 yrs
State Registrations1 state
CO
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.