Michael R. 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.
Michael Robert Dunn, CFP®, who also goes by Michael Dunn, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1987
Experience
July 27, 2017 - October 3, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 2017 - October 3, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 3, 2010 - July 6, 2017
EAGLE STRATEGIES LLC
January 8, 2010 - July 6, 2017
NYLIFE SECURITIES LLC
March 28, 2007 - September 26, 2007
NEW ENGLAND SECURITIES
July 22, 2002 - April 4, 2005
AXCELUS FINANCIAL DISTRIBUTION COMPANY
May 31, 2000 - May 22, 2002
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
December 19, 1991 - May 2, 2000
NEW ENGLAND SECURITIES
April 6, 1989 - December 17, 1991
NEW ENGLAND SECURITIES
March 9, 1988 - April 3, 1989
FSC SECURITIES CORPORATION
December 27, 1983 - March 15, 1988
CONSOLIDATED INVESTMENT SERVICES, INC.
May 5, 1982 - November 4, 1983
FINANCIAL PLANNERS EQUITY CORPORATION
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
