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James David Gaunt

Investment Adviser Representative at FORMIDABLE ASSET MANAGEMENT, LLC

Cincinnati, OHCRD #4848862Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
21 yrs
States Registered
1 states
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Ohio
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 10/14/2004
SIE
Securities Industry Essentials Examination
Passed 4/5/2017
Series 7
General Securities Representative Examination
Passed 10/7/2004

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Formidable Asset Management, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

FORMIDABLE ASSET MANAGEMENT, LLCCurrent
4/21/2017Cincinnati, OH
MML INVESTORS SERVICES, LLC
3/25/20174/5/2017Cincinnati, OH
MSI FINANCIAL SERVICES, INC.
8/28/20153/25/2017Cincinnati, OH
J.J.B. HILLIARD, W.L. LYONS, LLC
11/22/20045/27/2015Cincinnati, OH

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James David Gaunt has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

James David Gaunt - Financial Advisor in Cincinnati, OH | AdvisorFinder