Stephen W. Dunn
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.
Stephen Wolfe Dunn, who also goes by Stephen W Dunn, Steve Dunn, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, 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
Experience
July 27, 2005 - January 29, 2020
COHEN & STEERS SECURITIES, LLC
February 20, 2003 - July 11, 2005
AMG DISTRIBUTORS, INC.
February 23, 1995 - March 13, 2001
KOBREN INSIGHT BROKERAGE, INC
April 12, 1994 - February 24, 1995
SHAWMUT BROKERAGE, INC.
September 24, 1992 - March 30, 1993
BERG & CO., 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
Current Firm
COHEN & STEERS SECURITIES, LLC
CRD#: 29258 / SEC#: , 8-44123
Contact information
FINRA licenses (53 States and Territories)
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.
