Leonard E. 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.
Leonard Euler Dunn, who also goes by Len Dunn, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1990. Leonard had worked at 9 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
June 27, 2017 - March 15, 2022
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
January 2, 2008 - June 16, 2017
FREEDOM INVESTORS CORP.
December 18, 2003 - January 9, 2008
EZ STOCKS, INC.
October 1, 2002 - December 19, 2003
NATIONAL SECURITIES CORPORATION
October 27, 1998 - October 1, 2002
LISS FINANCIAL SERVICES
March 2, 1998 - September 10, 1998
RBC CAPITAL MARKETS, LLC
August 10, 1996 - March 2, 1998
DAIN RAUSCHER INCORPORATED
June 7, 1990 - August 21, 1996
CITIGROUP GLOBAL MARKETS INC.
March 21, 1990 - May 10, 1990
GS2 SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
CRD#: 8494 / SEC#: , 8-25547
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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