MD
Michael P. Dunn
STIFEL, NICOLAUS & COMPANY
Waukesha, WI 53188
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CRD#: 1175657
MD
Professional summary
Michael Perry Dunn, who also goes by Mike Dunn, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Waukesha, Wisconsin.
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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Dunn
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Perry Dunn's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 2, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: W233 N2080 Ridgeview Pkw Suite 202, Waukesha, WI 53188Office #2: 800 Shades Creek Parkway Suites 750 & 775, Birmingham, AL 35209Office #3: 2121 Avenue Of The Stars (fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067Office #4: 1878 Herbelin Road Suite 302 & 303, New Braunfels, TX 78132Office #5: 70 N.e. Loop 410 Suite 295, San Antonio, TX 78216Office #6: 2660 Eastchase Lane Lakeview Center, Suite 400, Montgomery, AL 36117Office #7: 70 West Madison Street Suite 2500, Chicago, IL 60602Office #8: One North Wacker Suite 3400, Chicago, IL 60606RIA
BD
CRD#: 793
Waukesha, WI
Past
January 13, 2015 - July 28, 2015
MERCHANT CAPITAL, L.L.C.
BD
CRD#: 5680
MONTGOMERY, AL
Past
December 7, 1987 - January 2, 2015
MERCHANT CAPITAL, L.L.C.
BD
CRD#: 5680
MONTGOMERY, AL
Past
October 10, 1983 - December 7, 1987
THE FRAZER LANIER COMPANY, INCORPORATED
BD
CRD#: 7089
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/12/2015)
RR
Alaska(4/5/2019)
RR
Arizona(4/4/2019)
RR
Arkansas(4/4/2019)
RR
California(4/4/2019)
RR
Colorado(4/8/2019)
RR
Connecticut(4/3/2019)
RR
Delaware(4/16/2019)
RR
District of Columbia(4/4/2019)
RR
Florida(1/6/2015)
RR
Georgia(4/15/2019)
RR
Hawaii(4/4/2019)
RR
Idaho(4/4/2019)
RR
Illinois(5/22/2019)
RR
Indiana(4/3/2019)
RR
Iowa(4/5/2019)
RR
Kansas(4/5/2019)
RR
Kentucky(4/9/2019)
RR
Louisiana(1/2/2015)
RR
Maine(4/4/2019)
RR
Maryland(4/10/2019)
RR
Massachusetts(5/24/2019)
RR
Michigan(4/5/2019)
RR
Minnesota(4/4/2019)
RR
Mississippi(4/4/2019)
RR
Missouri(4/5/2019)
RR
Montana(4/4/2019)
RR
Nebraska(4/3/2019)
RR
Nevada(4/17/2019)
RR
New Hampshire(4/10/2019)
RR
New Jersey(4/5/2019)
RR
New Mexico(4/4/2019)
RR
New York(4/30/2019)
RR
North Carolina(4/4/2019)
RR
North Dakota(4/16/2019)
RR
Ohio(4/3/2019)
RR
Oklahoma(4/4/2019)
RR
Oregon(4/12/2019)
RR
Pennsylvania(4/8/2019)
RR
Rhode Island(4/4/2019)
RR
South Carolina(4/5/2019)
RR
South Dakota(5/14/2019)
RR
Tennessee(12/21/2018)
RR
Texas(4/3/2019)
RR
Utah(4/4/2019)
RR
Vermont(4/4/2019)
RR
Virginia(4/4/2019)
RR
Washington(4/3/2019)
RR
West Virginia(4/17/2019)
RR
Wisconsin(4/5/2019)
RR
Wyoming(4/22/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 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 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| 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 | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Waukesha, WI 53188TRUST BUT VERIFY
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