GUNDERSON CAPITAL MANAGEMENT, LLC of MOUNT PLEASANT, SC is an SEC-registered investment adviser (CRD 140795). Regulatory assets under management: $395.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| William Fred Gunderson | PRESIDENT | — |
| Jennifer Greene | CHIEF COMPLIANCE OFFICER | Mt. Pleasant, SC |
| GUNDERSON WILLIAM FRED | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/PRESIDENT; PRESIDENT (+2 more) | — |
| BROOTEN TRACEY ELIZABETH | CHIEF COMPLIANCE OFFICER | — |
| GREENE JENNIFER | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-02-14 | regulatory | THE FIRM'S ASSETS UNDER MANAGEMENT FELL BELOW THE THRESHOLD FOR SEC REGISTRATION AND WAS SUBSEQUENTLY UNREGISTERED. THE FIRM DID NOT REGISTER WITH THE STATE OF CALIFORNIA IN A TIMELY MANNER RESULTING IN THE FIRM PROVIDING INVESTMENT ADVICE IN THE STATE OF CALIFORNIA WITHOUT A LICENSE. | Final | $65K |