William J. 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.
William James Dunn JR, who also goes by William Jr Dunn, William Dunn Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2013 - May 5, 2016
NOVI WEALTH PARTNERS
June 16, 2003 - July 8, 2013
PRIVATE WEALTH MANAGEMENT GROUP INC
March 10, 1995 - March 3, 1998
NATHAN & LEWIS SECURITIES, INC.
November 8, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 8, 1989 - February 15, 1995
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
NOVI WEALTH PARTNERS
CRD#: 166539 / SEC#: 801-77565
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
NOVI WEALTH PARTNERS
CRD#: 166539 / SEC#: 801-77565
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 915 |
| AUM (Assets Under Management) | $ 492,884,682 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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