DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

SETH JEROME GUNDERSON

Advisor at WESTERN WEALTH MANAGEMENT LLC

BROOMFIELD, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7e27de88-fe0f-789a-9398-26e40ac32d0a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 13, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WESTERN WEALTH MANAGEMENT LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 11, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Oct 11, 2002
First registration: Feb 13, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 4574972

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WESTERN WEALTH MANAGEMENT LLC	Independent wealth	Jun 22, 2016	n/a	yes	BROOMFIELD, CO	Current employment
WESTERN WEALTH MANAGEMENT LLC	Former SEC adviser	Aug 26, 2014	Jun 22, 2016	no	BROOMFIELD, CO\|GOLDEN, CO	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Sep 8, 2010	Aug 25, 2014	no	LONGMONT, CO	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Sep 27, 2007	Aug 9, 2010	no	BRIGHTON, CO\|WESTMINSTER, CO\|WESTMINSTER, CO	Previous registration
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	Feb 13, 2006	Sep 27, 2007	no	DENVER, CO\|BROOMFIELD, CO\|PORTLAND, OR\|DENVER, CO\|Meridian, ID\|IDAHO FALLS, ID	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WESTERN WEALTH MANAGEMENT LLC	WESTERN WEALTH MANAGEMENT LLC	Jun 22, 2016	Jun 22, 2016	0	Bulk transfer	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	WESTERN WEALTH MANAGEMENT LLC	Aug 25, 2014	Aug 26, 2014	1	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Aug 9, 2010	Sep 8, 2010	30	Firm change	Other
KEY INVESTMENT SERVICES LLC	WELLS FARGO INVESTMENTS, LLC	Sep 27, 2007	Sep 27, 2007	0	Firm change	Other

Relationships

Registered with (5)

→ WESTERN WEALTH MANAGEMENT LLCRegistered adviserregistration: current employment
Jun 22, 2016 to presentfactForm ADV
→ WESTERN WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Aug 26, 2014 to Jun 22, 2016factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Sep 8, 2010 to Aug 25, 2014factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Sep 27, 2007 to Aug 9, 2010factForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Feb 13, 2006 to Sep 27, 2007factForm ADV

Dated events

No dated event names this entity yet.