Michael E. 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.
Michael Edward Dunn, who also goes by Michael Edward Dunn Mr., was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 24, Series 14, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2003 - January 13, 2005
FIDELITY DISTRIBUTORS CORPORATION
January 14, 1997 - December 31, 1998
NATIONAL FINANCIAL SERVICES LLC
February 8, 1991 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
December 20, 1988 - February 8, 1991
NATIONAL FINANCIAL SERVICES LLC
May 22, 1987 - December 19, 1988
FIDELITY BROKERAGE SERVICES LLC
April 24, 1985 - December 19, 1986
FIDELITY DISTRIBUTORS CORPORATION
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 8
Date: 3/8/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY DISTRIBUTORS CORPORATION
CRD#: 6848 / SEC#: , 8-8775
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| BACHMAN, ROBERT FROLICH | EXECUTIVE VICE PRESIDENT | 2540486 |
| DEPIERO, MATTHEW | DIRECTOR | 6947009 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| LYONS, MICHAEL JOSEPH | CFO | 4610621 |
| MARLINSKI, JUDY ANNE | PRESIDENT/CEO/DIRECTOR | 6751775 |
| MULCAHY, TIMOTHY MICHAEL | DIRECTOR | 3083260 |
| ROTHMAN, PHILIP | CHIEF COMPLIANCE OFFICER | 4883519 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
