Richard W. Dunkley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Warren Dunkley, who also goes by Rich Dunkley, Rick Dunkley, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 7 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2012 - December 15, 2016
FORESTERS EQUITY SERVICES, INC.
May 3, 2005 - December 31, 2010
FORTUNE FINANCIAL SERVICES, INC.
February 23, 2001 - August 29, 2003
USALLIANZ SECURITIES, INC.
March 7, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 7, 1988 - February 7, 2001
PRUCO SECURITIES, LLC.
November 12, 1986 - January 20, 1988
STONEBRIDGE SECURITIES,LTD.
April 29, 1982 - November 28, 1986
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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