Michael P. Dunham
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 Phillip Dunham, CFP®, who also goes by Mike Dunham, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 8 firms and has passed the Series 65, Series 63, 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
Start date: 1987
Experience
November 12, 2020 - July 29, 2022
TRITON FINANCIAL GROUP, INC
April 2, 2019 - December 21, 2020
CAPSTONE FINANCIAL GROUP, INC
January 23, 2009 - December 31, 2010
ACCESS INVESTMENTS, INC.
December 22, 2008 - April 1, 2019
ACCESS FINANCIAL RESOURCES INC.
October 29, 1996 - January 5, 2009
LPL FINANCIAL LLC
October 29, 1996 - January 5, 2009
LPL FINANCIAL LLC
March 16, 1988 - November 13, 1996
INVESTACORP, INC.
July 18, 1984 - March 24, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
January 25, 1984 - July 23, 1984
PEPCO SECURITIES, INC.
Primary Firm SEC Registration
TRITON FINANCIAL GROUP, INC
CRD#: 309294 / SEC#: 801-119672
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
TRITON FINANCIAL GROUP, INC
CRD#: 309294 / SEC#: 801-119672
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 338 |
| AUM (Assets Under Management) | $ 292,964,881 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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