Steve W. Dunstone
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.
Steve Wayne Dunstone was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 1984. Steve had worked at 8 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 55, Series 15, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2009 - April 24, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
August 5, 2009 - August 22, 2025
LPL FINANCIAL LLC
July 31, 2009 - January 13, 2025
LPL FINANCIAL LLC
May 2, 2009 - June 1, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - June 1, 2009
CHASE INVESTMENT SERVICES CORP.
February 10, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
September 8, 2000 - May 2, 2009
WAMU INVESTMENTS, INC.
October 7, 1997 - August 18, 2000
THOMAS GREEN SECURITIES, INC.
January 30, 1986 - October 9, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 6, 1985 - April 16, 1987
WILLIAM O'NEIL SECURITIES
June 20, 1984 - May 21, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 2/14/2000
Limited Representative-Equity Trader ExamSeries 15
Date: 8/24/1984
Foreign Currency Options ExaminationCurrent Firm
UVEST FINANCIAL SERVICES GROUP, INC.
CRD#: 13787 / SEC#: 801-47970, 8-28549
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | PARENT COMPANY | |
| ARNOLD, DAN HOGAN JR | MANAGING DIRECTOR, HEAD OF STRATEGY | 2557410 |
| CASADY, MARK STEPHEN | CHAIRMAN OF THE BOARD | 2313239 |
| DWYER, WILLIAM EDWARD III | MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES & MARKETING | 1274680 |
| LANK, STEPHEN | SVP OPERATIONS | 2997028 |
| MCDERMOTT, JOHN JEROME JR. | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | 4025460 |
| MITCHELL, CHRISTOPHER MILLS | FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | 1347526 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
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.
