Brian M. Dunkin
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.
Brian Mackenzie Dunkin was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1987. Brian had worked at 13 firms and has passed the Series 66, Series 65, 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
April 30, 2012 - April 26, 2017
STRATEGIC ADVISERS LLC
April 27, 2012 - April 25, 2017
FIDELITY BROKERAGE SERVICES LLC
December 14, 2010 - April 19, 2012
FIFTH THIRD SECURITIES, INC.
December 8, 2010 - April 19, 2012
FIFTH THIRD SECURITIES, INC.
July 24, 2009 - December 9, 2010
WALLINGTON ASSET MANAGEMENT
March 30, 2009 - June 3, 2009
ALLIANCEBERNSTEIN L.P.
October 16, 2007 - June 3, 2009
ALLIANCEBERNSTEIN INVESTMENTS, INC.
February 20, 2007 - October 3, 2007
EDWARD JONES
January 2, 2004 - October 3, 2007
EDWARD JONES
February 17, 1999 - March 10, 2004
LORD, ABBETT & CO. LLC
May 12, 1997 - March 10, 2004
LORD ABBETT DISTRIBUTOR LLC
July 31, 1993 - April 3, 1997
CITIGROUP GLOBAL MARKETS INC.
April 3, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
November 11, 1988 - April 12, 1990
KEOGLER, MORGAN & COMPANY, INC.
July 22, 1987 - November 28, 1988
FSC SECURITIES CORPORATION
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
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
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
