Brandon T. Dunn

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CRD#: 1704298

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.

Brandon Todd Dunn was a registered financial professional .

Brandon is a previously registered financial professional and started their career in finance in 1987. Brandon had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 11, 2018 - September 29, 2020

OLD CITY SECURITIES LLC

CRD#: 171910

NEW YORK, NY

Past

May 6, 2013 - July 15, 2016

AK CAPITAL LLC

CRD#: 28345

NEW YORK, NY

Past

January 7, 2013 - May 2, 2013

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

May 22, 2009 - January 10, 2013

ROCHDALE SECURITIES LLC

CRD#: 6863

STAMFORD, CT

Past

October 2, 2008 - May 20, 2009

AK CAPITAL LLC

CRD#: 28345

NEW YORK, NY

Past

October 16, 2001 - May 21, 2008

UBS SECURITIES LLC

CRD#: 7654

STAMFORD, CT

Past

March 28, 2001 - August 14, 2001

BOSTON PARTNERS SECURITIES, L.L.C.

CRD#: 2998

BOSTON, MA

Past

May 1, 1997 - June 8, 1999

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

May 10, 1995 - April 23, 1997

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 22, 1991 - April 13, 1995

JPMSI

CRD#: 15733

NEW YORK, NY

Past

November 21, 1989 - April 2, 1991

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

July 21, 1987 - February 6, 1990

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 8/11/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/14/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/17/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/26/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

OLD CITY SECURITIES LLC

CRD#: 171910 / SEC#: , 8-69488

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

589 Fifth Avenue Ph, New York, NY 10017

Mailing Address

445 Central Avenue, Suite 328, Cedarhurst, NY 11516

Phone number

(212) 671-1976

Established

New York since 04/25/2014

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
OLD CITY SECURITIES HOLDINGS GP	HOLDING COMPANY
BARNETT, TREVOR CLARK	MEMBER	4722196
DAMSKI, SETH ADAM	FOUNDING MEMBER	2940303
FELDMAN, EYTAN DOV	MEMBER, CCO, EXECUTIVE REP, AML SUPERVISOR	5708084
MARRONE, MICHAEL THOMAS	FINOP
SIRIGNANO, GEORGE AMERICUS	MANAGING MEMBER	6678999

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.

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Firm Stability Insights

Brandon T. Dunn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AK CAPITAL LLC

MAXIM GROUP LLC

ROCHDALE SECURITIES LLC

AK CAPITAL LLC

UBS SECURITIES LLC

BOSTON PARTNERS SECURITIES, L.L.C.

DEUTSCHE BANK SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

JPMSI

UBS SECURITIES LLC

L. F. ROTHSCHILD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/11/1987

SIE

Date: 10/1/2018

Series 3

Date: 9/14/1987

Series 7

Date: 7/18/1987

Series 10

Date: 8/17/2004

Series 9

Date: 3/26/2004

Current Firm

OLD CITY SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OLD CITY SECURITIES LLC

TRUST BUT VERIFY

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