Kevin T. Dunn
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.
Kevin Timothy Dunn, who also goes by Kevin T Dunn, Kevin Dunn, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1981. Kevin had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2022 - January 24, 2025
WELLS FARGO CLEARING SERVICES, LLC
June 16, 2022 - January 24, 2025
WELLS FARGO CLEARING SERVICES, LLC
April 2, 2015 - June 16, 2022
J.P. MORGAN SECURITIES LLC
March 31, 2015 - June 16, 2022
J.P. MORGAN SECURITIES LLC
July 11, 2012 - March 30, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 2012 - March 30, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 24, 2011 - March 23, 2012
G-2 TRADING,LLC
February 12, 2010 - March 24, 2011
MADISON PROPRIETARY TRADING GROUP, LLC
October 9, 2009 - January 27, 2010
VANDHAM SECURITIES CORP.
June 7, 2007 - December 4, 2007
TRADITION SECURITIES AND DERIVATIVES LLC
May 16, 2005 - June 8, 2006
MORGAN STANLEY & CO. LLC
March 23, 1998 - May 3, 2005
DEUTSCHE BANK SECURITIES INC.
December 6, 1995 - April 16, 1998
PERSHING LLC
January 1, 1992 - November 13, 1995
ALEX. BROWN & SONS INCORPORATED
April 30, 1991 - November 12, 1991
INTESA SANPAOLO IMI SECURITIES CORP.
October 11, 1989 - April 30, 1991
MABON, NUGENT & CO.
July 7, 1986 - August 22, 1989
MORGAN STANLEY DW INC.
October 23, 1981 - July 25, 1986
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
Series 55
Date: 4/3/2000
Limited Representative-Equity Trader ExamSeries 5
Date: 10/31/1981
Interest Rate Options ExaminationCurrent Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
