Michael Perry Dunn
Professional Summary
Michael Perry Dunn, who also goes by Mike Dunn, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Birmingham, Alabama. Michael is registered as a RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 3 firms and has passed the Series 63, SIE, Series 50, Series 7, Series 52, Series 54, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mike Dunn
Similar Advisors
DAVIDSON INVESTMENT ADVISORS, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
SEA FINANCIAL HAWAII
SOUND INCOME STRATEGIES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
DAVIDSON INVESTMENT ADVISORS, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
SEA FINANCIAL HAWAII
SOUND INCOME STRATEGIES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
DAVIDSON INVESTMENT ADVISORS, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
SEA FINANCIAL HAWAII
SOUND INCOME STRATEGIES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
DAVIDSON INVESTMENT ADVISORS, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
SEA FINANCIAL HAWAII
SOUND INCOME STRATEGIES, LLC
Years of Experience
43 years in the financial services industry
Current & Past Employments
Similar Advisors
DAVIDSON INVESTMENT ADVISORS, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
SEA FINANCIAL HAWAII
SOUND INCOME STRATEGIES, LLC
Current Firm
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
Contact Information
Main Address
501 North Broadway, St Louis, MO 63102Mailing Address
501 North Broadway, St. Louis, MO 63102Phone Number
(314) 342-2000Established
Missouri since 02/20/1900Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
6,478SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | — |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| JANSEN, ANGELA MARIE | PRINCIPAL OPERATIONS OFFICER | 3190211 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory Assets Under Management
Total Number of Accounts
394,160AUM (Assets Under Management)
$197,532,233,502Disclosures
Regulatory Event
191Civil Event
2Arbitration
61Bond
2Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/30/2026 | Cover Page | Report |
| 12/18/2024 | Cover Page | Report |
| 12/19/2023 | Cover Page | Report |
Similar Advisors
DAVIDSON INVESTMENT ADVISORS, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
SEA FINANCIAL HAWAII
SOUND INCOME STRATEGIES, LLC
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
DAVIDSON INVESTMENT ADVISORS, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
SEA FINANCIAL HAWAII
SOUND INCOME STRATEGIES, LLC
Primary Firm SEC Registration
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
State Registrations and Notice Filings
(1/12/2015)
(4/5/2019)
(4/4/2019)
(4/4/2019)
(4/4/2019)
(4/8/2019)
(4/3/2019)
(4/16/2019)
(4/4/2019)
(1/6/2015)
(4/15/2019)
(4/4/2019)
(4/4/2019)
(5/22/2019)
(4/3/2019)
(4/5/2019)
(4/5/2019)
(4/9/2019)
(1/2/2015)
(4/4/2019)
(4/10/2019)
(5/24/2019)
(4/5/2019)
(4/4/2019)
(4/4/2019)
(4/5/2019)
(4/4/2019)
(4/3/2019)
(4/17/2019)
(4/10/2019)
(4/5/2019)
(4/4/2019)
(4/30/2019)
(4/4/2019)
(4/16/2019)
(4/3/2019)
(4/4/2019)
(4/12/2019)
(4/8/2019)
(4/4/2019)
(4/5/2019)
(5/14/2019)
(12/21/2018)
(4/3/2019)
(4/4/2019)
(4/4/2019)
(4/4/2019)
(4/3/2019)
(4/17/2019)
(4/5/2019)
(4/22/2019)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 50 — Municipal Advisor Representative Qualification Exam
Passed Jul 2017About the Series 50 examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed Dec 2021About the Series 54 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
DAVIDSON INVESTMENT ADVISORS, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
SEA FINANCIAL HAWAII
SOUND INCOME STRATEGIES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Michael Perry Dunn's CRS (Customer Relationship Summary).
Similar Advisors
DAVIDSON INVESTMENT ADVISORS, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
SEA FINANCIAL HAWAII
SOUND INCOME STRATEGIES, LLC
