Dennis L. 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.
Dennis Leroy Dunn was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1987. Dennis had worked at 6 firms and has passed the Series 63 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
February 5, 1997 - January 3, 2002
MAGELLAN SECURITIES INC
August 21, 1996 - February 12, 1997
UNITED PACIFIC SECURITIES, INC.
January 1, 1996 - August 28, 1996
FSC SECURITIES CORPORATION
December 1, 1994 - January 1, 1996
ANDOVER SECURITIES, INC.
June 18, 1989 - November 30, 1994
SUNAMERICA SECURITIES, INC.
January 21, 1987 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
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
MAGELLAN SECURITIES INC
CRD#: 15986 / SEC#: , 8-33047
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
