Thomas M. Dunlap
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.
Thomas Matthew Dunlap was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2011 - December 9, 2024
VARIABLE INVESTMENT ASSOCIATES, INC.
February 12, 2007 - November 20, 2009
CETERA FINANCIAL SPECIALISTS LLC
January 27, 2005 - August 1, 2006
BISON CAPITOL, INC.
August 5, 2003 - November 8, 2004
VOYA FINANCIAL ADVISORS, INC.
March 6, 2002 - December 5, 2002
SIGNATOR FINANCIAL SERVICES, INC.
October 16, 1995 - October 31, 2001
LIFEMARK SECURITIES CORP.
January 1, 1993 - October 20, 1995
NYLIFE SECURITIES LLC
July 23, 1986 - April 25, 1991
KIDDER, PEABODY & 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
VARIABLE INVESTMENT ASSOCIATES, INC.
CRD#: 44412 / SEC#: , 8-50699
Contact information
FINRA licenses (49 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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