GUNNALLEN FINANCIAL, INC
CRD #17609 SEC #801-60636 TAMPA, FL 813-282-0808
SEC Registered Broker-Dealer
Total AUM
$55M
Discretionary
$11M
Employees
501
Clients
25
Accounts
279
Firm Details
- Organization Type
- Corporation
- State of Formation
- Florida
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 16, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| DANIELS, KEVIN CHRISTIAN | I | SVP OF TRADING | NA | Control |
| DANIELS, KEVIN CHRISTIAN | I | SVP OF TRADING | NA | Control |
| DANIELS, KEVIN CHRISTIAN | I | SVP OF TRADING | NA | Control |
| DANIELS, KEVIN CHRISTIAN | I | SVP OF TRADING | NA | Control |
| DANIELS, KEVIN CHRISTIAN | I | EVP OF TRADING, CHIEF COMPLIANCE OFFICER | NA | Control |
| DANIELS, KEVIN CHRISTIAN | I | EVP OF TRADING, CHIEF COMPLIANCE OFFICER | NA | Control |
| DANIELS, KEVIN CHRISTIAN | I | SVP OF TRADING | NA | Control |
| DANIELS, KEVIN CHRISTIAN | I | EVP OF TRADING, CHIEF COMPLIANCE OFFICER | NA | Control |
| DANIELS, KEVIN CHRISTIAN | I | SVP OF TRADING | NA | Control |
| ELLIS, MARC | I | CHIEF COMPLIANCE OFFICER, EVP | NA | Control |
| ELLIS, MARC | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| ELLIS, MARC | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| ELLIS, MARC | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| ELLIS, MARC | I | CHIEF COMPLIANCE OFFICER, EVP | NA | Control |
| ELLIS, MARC | I | CHIEF COMPLIANCE OFFICER, SVP | NA | Control |
| FAY, BRADLEY ALLEN | I | DIRECTOR | NA | Control |
| FAY, BRADLEY ALLEN | I | DIRECTOR | NA | Control |
| FAY, BRADLEY ALLEN | I | DIRECTOR | NA | Control |
| FAY, BRADLEY ALLEN | I | DIRECTOR | NA | Control |
| FAY, BRADLEY ALLEN | I | CHIEF ADMINISTRATION OFFICER | NA | Control |
| FAY, BRADLEY ALLEN | I | SECRETARY/CFO | NA | Control |
| FAY, BRADLEY ALLEN | I | DIRECTOR | NA | Control |
| FAY, BRADLEY ALLEN | I | DIRECTOR | NA | Control |
| FAY, BRADLEY ALLEN | I | SECRETARY/CFO | NA | Control |
| FAY, BRADLEY ALLEN | I | SECRETARY/CFO | NA | Control |
| FAY, BRADLEY ALLEN | I | FINOP | NA | Control |
| FAY, BRADLEY ALLEN | I | SECRETARY/CFO | NA | Control |
| FAY, BRADLEY ALLEN | I | SECRETARY/CFO | NA | Control |
| FRANKEL, CHRISTOPHER LEE | I | CHIEF OPERATING OFFICER | NA | Control |
| FRANKEL, CHRISTOPHER LEE | I | CHIEF OPERATING OFFICER | NA | Control |
| FRUEH, RICHARD ALLEN | I | CEO | NA | Control |
| FRUEH, RICHARD ALLEN | I | CEO | NA | Control |
| FRUEH, RICHARD ALLEN | I | CEO | NA | Control |
| FRUEH, RICHARD ALLEN | I | CEO | NA | Control |
| FRUEH, RICHARD ALLEN | I | CEO | NA | Control |
| FRUEH, RICHARD ALLEN | I | CEO | NA | Control |
| FRUEH, RICHARD ALLEN | I | CEO | NA | Control |
| FRUEH, RICHARD ALLEN | I | CEO | NA | Control |
| FRUEH, RICHARD ALLEN | I | CEO | NA | Control |
| FRUEH, RICHARD ALLEN | I | CEO | NA | Control |
| FRUEH, RICHARD ALLEN | I | CEO | NA | Control |
| FRUEH, RICHARD ALLEN | I | CEO | NA | Control |
| GUNN, DONALD JAMES | I | PRESIDENT | NA | Control |
| GUNN, DONALD JAMES | I | PRESIDENT | NA | Control |
| GUNN, DONALD JAMES | I | PRESIDENT | NA | Control |
| GUNN, DONALD JAMES | I | PRESIDENT | NA | Control |
| GUNN, DONALD JAMES | I | PRESIDENT | NA | Control |
| GUNN, DONALD JAMES | I | PRESIDENT | NA | Control |
| GUNN, DONALD JAMES | I | PRESIDENT | NA | Control |
| GUNN, DONALD JAMES | I | PRESIDENT | NA | Control |
| GUNN, DONALD JAMES | I | PRESIDENT | NA | Control |
| GUNN, DONALD JAMES | I | PRESIDENT | NA | Control |
| GUNN, DONALD JAMES | I | PRESIDENT | NA | Control |
| GUNN, DONALD JAMES | I | PRESIDENT | NA | Control |
| JARVIS, DAVID HOWARD | I | GENERAL COUNSEL | NA | Control |
| JARVIS, DAVID HOWARD | I | GENERAL COUNSEL | NA | Control |
| JARVIS, DAVID HOWARD | I | GENERAL COUNSEL | NA | Control |
| JARVIS, DAVID HOWARD | I | GENERAL COUNSEL | NA | Control |
| KRAUS, FREDERICK OSCAR JR | I | ACTING CEO, CFO, FINOP | NA | Control |
| KRAUS, FREDERICK OSCAR JR | I | ACTING CEO, CFO, FINOP | NA | Control |
| KRAUS, FREDERICK OSCAR JR | I | PRESIDENT, CFO, FINOP | NA | Control |
| LEVINE, DAVID CHARLES | I | NATIONAL SALES MANAGER | NA | Control |
| LEVINE, DAVID CHARLES | I | SVP OF FINANCIAL SERVICES | NA | Control |
| LEVINE, DAVID CHARLES | I | SVP OF FINANCIAL SERVICES | NA | Control |
| LEVINE, DAVID CHARLES | I | SVP OF FINANCIAL SERVICES | NA | Control |
| LEVINE, DAVID CHARLES | I | NATIONAL SALES MANAGER | NA | Control |
| LEVINE, DAVID CHARLES | I | EVP, CAPITAL STRATEGIES | NA | Control |
| LEVINE, DAVID CHARLES | I | SVP OF FINANCIAL SERVICES | NA | Control |
| MCCOY, DAVE MYRON | I | DIRECTOR | NA | Control |
| MCCOY, DAVE MYRON | I | HEAD OF NATIONAL SALES | NA | Control |
| MCCOY, DAVE MYRON | I | DIRECTOR | NA | Control |
| MCCOY, DAVE MYRON | I | DIRECTOR | NA | Control |
| MCPARTLAND, FRANK JOHN | I | SVP, DIRECTOR OF OPERATIONS | NA | Control |
| NUMMI, RICHARD MARK | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUMMI, RICHARD MARK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NUMMI, RICHARD MARK | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUMMI, RICHARD MARK | I | CHIEF COMPLIANCE OFFICER | NA | |
| OBEIRNE, DECLAN EDWARD | I | CFO, FINOP | NA | Control |
| OBEIRNE, DECLAN EDWARD | I | CFO, FINOP | NA | Control |
| OBEIRNE, DECLAN EDWARD | I | CFO, FINOP | NA | Control |
| OBEIRNE, DECLAN EDWARD | I | CFO, FINOP | NA | Control |
| OBEIRNE, DECLAN EDWARD | I | CFO, FINOP | NA | Control |
| OBEIRNE, DECLAN EDWARD | I | CFO, FINOP | NA | Control |
| POWELL, SCOTT WAYNE | I | SVP OF RETAIL SERVICES | NA | Control |
| POWELL, SCOTT WAYNE | I | SVP OF RETAIL SERVICES | NA | Control |
| POWELL, SCOTT WAYNE | I | SVP OF RETAIL SERVICES | NA | Control |
| POWELL, SCOTT WAYNE | I | SVP OF RETAIL SERVICES | NA | Control |
| POWELL, SCOTT WAYNE | I | SVP OF RETAIL SERVICES | NA | Control |
| POWELL, SCOTT WAYNE | I | SVP OF RETAIL SERVICES | NA | Control |
| POWELL, SCOTT WAYNE | I | SVP OF RETAIL SERVICES | NA | Control |
| SAVAGE, ROBERT KEVIN | I | EXEC. OFFICER | NA | Control |
| SAVAGE, ROBERT KEVIN | I | EXEC. OFFICER | NA | Control |
| TANELLA, DEAN GARRETT | I | EXECUTIVE VICE PRESIDENT, CAPTIAL MARKETS GROUP | NA | Control |
| TANELLA, DEAN GARRETT | I | EXECUTIVE VICE PRESIDENT, CAPTIAL MARKETS GROUP | NA | Control |
| TANELLA, DEAN GARRETT | I | EXECUTIVE VICE PRESIDENT, CAPTIAL MARKETS GROUP | NA | Control |
| TANELLA, DEAN GARRETT | I | EXECUTIVE VICE PRESIDENT, CAPTIAL MARKETS GROUP | NA | Control |
| TROSPER, JED BRAYTER | I | DIRECTOR | NA | Control |
| TROSPER, JED BRAYTER | I | DIRECTOR | NA | Control |
| TROSPER, JED BRAYTER | I | DIRECTOR | NA | Control |
| TROSPER, JED BRAYTER | I | DIRECTOR | NA | Control |
| TROSPER, JED BRAYTER | I | DIRECTOR | NA | Control |
| TROSPER, JED BRAYTER | I | CFO | NA | Control |
| TROSPER, JED BRAYTON | I | DIRECTOR | NA | Control |
| WOLTER, RUSSELL WILLIAM | I | SROP, CROP | NA | Control |
| WOLTER, RUSSELL WILLIAM | I | SCROP, CROP | NA | Control |
| WOLTER, RUSSELL WILLIAM | I | SCROP, CROP | NA | Control |
| WOLTER, RUSSELL WILLIAM | I | SCROP, CROP | NA | Control |
| WOLTER, RUSSELL WILLIAM | I | SROP, CROP | NA | Control |
| WOLTER, RUSSELL WILLIAM | I | SCROP, CROP | NA | Control |
| GUNNALLEN HOLDINGS | DE | SHAREHOLDER | E | |
| GUNNALLEN HOLDINGS | DE | SHAREHOLDER | E | |
| GUNNALLEN HOLDINGS | DE | SHAREHOLDER | E | |
| GUNNALLEN HOLDINGS | DE | SHAREHOLDER | E | |
| GUNNALLEN HOLDINGS | DE | SHAREHOLDER | E | |
| GUNNALLEN HOLDINGS | DE | SHAREHOLDER | E | |
| GUNNALLEN HOLDINGS | DE | SHAREHOLDER | E | |
| GUNNALLEN HOLDINGS | DE | SHAREHOLDER | E | |
| GUNNALLEN HOLDINGS | DE | SHAREHOLDER | E | |
| GUNNALLEN HOLDINGS | DE | SHAREHOLDER | E | |
| GUNNALLEN HOLDINGS | DE | SHAREHOLDER | E | |
| GUNNALLEN HOLDINGS, INC. | DE | SHAREHOLDER | E | |
| GUNNALLEN HOLDINGS, INC. | DE | SHAREHOLDER | E | |
| NATIONAL PARTNERSHIP | DE | SHAREHOLDER | E | |
| NATIONAL PARTNERSHIP | DE | SHAREHOLDER | E |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS | F | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS, INC. | F | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS, INC. | F | |
| GUNN, DONALD JAMES JR | I | GUNNALLEN HOLDINGS | F | Control |
| GUNN, DONALD JAMES JR | I | GUNNALLEN HOLDINGS, INC. | F | Control |
| GUNN, DONALD JAMES JR | I | GUNNALLEN HOLDINGS, INC. | F | Control |
| GAH HOLDINGS, LLC | DE | GUNNALLEN HOLDINGS, INC. | E | Control |
| GAH HOLDINGS, LLC | DE | GUNNALLEN HOLDINGS, INC. | E | Control |
| GAH HOLDINGS, LLC | DE | GUNNALLEN HOLDINGS, INC. | E | Control |
| GUNNALLEN HOLDINGS | DE | NATIONAL PARTNERSHIP | E | |
| GUNNALLEN HOLDINGS | DE | NATIONAL PARTNERSHIP | E | |
| SYKES, JOHN H. | I | HYDE PARK EQUITY INVESTMENTS, LLC | E | Control |
| SYKES, JOHN H. | I | HYDE PARK EQUITY INVESTMENTS, LLC | E | Control |
| SYKES, JOHN H. | I | HYDE PARK EQUITY INVESTMENTS, LLC | E | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS | D | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS | D | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS | D | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS | D | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS | D | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS | D | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS | D | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS | D | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS | D | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS | D | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS | D | Control |
| FRUEH, RICHARD ALLEN | I | GUNNALLEN HOLDINGS | D | Control |
| HYDE PARK EQUITY INVESTMENTS, LLC | DE | GAH HOLDINGS, LLC | D | Control |
| HYDE PARK EQUITY INVESTMENTS, LLC | DE | GAH HOLDINGS, LLC | D | Control |
| HYDE PARK EQUITY INVESTMENTS, LLC | DE | GAH HOLDINGS, LLC | D | Control |
| GUNN, DONALD JAMES | I | GUNNALLEN HOLDINGS | C | Control |
| GUNN, DONALD JAMES | I | GUNNALLEN HOLDINGS | C | Control |
| GUNN, DONALD JAMES | I | GUNNALLEN HOLDINGS | C | Control |
| GUNN, DONALD JAMES | I | GUNNALLEN HOLDINGS | C | Control |
| GUNN, DONALD JAMES | I | GUNNALLEN HOLDINGS | C | Control |
| GUNN, DONALD JAMES | I | GUNNALLEN HOLDINGS | C | Control |
| GUNN, DONALD JAMES | I | GUNNALLEN HOLDINGS | C | Control |
| GUNN, DONALD JAMES | I | GUNNALLEN HOLDINGS | C | Control |
| GUNN, DONALD JAMES | I | GUNNALLEN HOLDINGS | C | Control |
| GUNN, DONALD JAMES | I | GUNNALLEN HOLDINGS | C | Control |
| GUNN, DONALD JAMES | I | GUNNALLEN HOLDINGS | C | Control |
| GUNN, DONALD JAMES | I | GUNNALLEN HOLDINGS | C | Control |
Registrations
Federal
IA
Nov 16, 2005 REGISTERED
Notice Filings (52)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VI VT WA WI WV
Address
5002 WEST WATERS AVETAMPA, FL 33634-1313
USA
Phone: 813-282-0808