Susan K. Dunbar
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.
Susan Kathryn Dunbar, who also goes by Susan Kathryn Buckless, Susan Buckless Dunbar, Susan Buckless Garlick, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1983. Susan had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 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
July 13, 2018 - July 9, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 4, 2000 - July 13, 2018
STRATEGIC ADVISERS LLC
December 6, 1999 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
January 2, 1996 - November 30, 1999
FIS SECURITIES, INC.
March 7, 1994 - December 31, 1995
CONSECO SECURITIES, INC.
May 23, 1989 - February 16, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 23, 1989 - February 16, 1994
EQUITABLE ADVISORS, LLC
April 4, 1983 - July 15, 1988
TOWER SQUARE SECURITIES, 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
