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SD

Steven J. Dunlap

Some features on this profile are disabled
CRD#: 2232790
SD

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.

Steven James Dunlap JR, who also goes by Steve Dunlap Jr, Steven James Dunlap, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1992. Steven had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Dunlap Jr | Steven James Dunlap

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

May 13, 2016 - March 23, 2018

FDX ADVISORS, INC.

RIA
CRD#: 104601
Manhattan Beach, CA
Past

April 14, 2014 - August 4, 2015

CETERA INVESTMENT MANAGEMENT LLC

RIA
CRD#: 165436
EL SEGUNDO, CA
Past

August 16, 2013 - August 4, 2015

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
SCHAUMBURG, IL
Past

August 16, 2013 - August 4, 2015

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EL SEGUNDO, CA
Past

July 27, 2013 - August 4, 2015

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
EL SEGUNDO, CA
Past

July 27, 2013 - August 4, 2015

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
EL SEGUNDO, CA
Past

July 27, 2013 - August 4, 2015

CETERA ADVISORS LLC

BD
CRD#: 10299
EL SEGUNDO, CA
Past

July 27, 2013 - August 4, 2015

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

June 24, 2013 - June 28, 2013

BNY ADVISORS

RIA
CRD#: 106108
KING OF PRUSSIA, PA
Past

September 9, 2008 - June 28, 2013

PERSHING LLC

BD
CRD#: 7560
KING OF PRUSSIA, PA
Past

September 18, 2002 - December 13, 2005

ANNUITYNET INSURANCE AGENCY, INC.

BD
CRD#: 102780
HERNDON, VA
Past

August 9, 1993 - July 19, 1995

RELIASTAR FINANCIAL MARKETING CORP.

BD
CRD#: 4234
SEATTLE, WA
Past

May 21, 1992 - July 22, 1993

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FA
FDX ADVISORS, INC.
ENVESTNET CAPITAL MANAGEMENT | SUNGARD ADVISOR TECHNOLOGIES, INC. | SUNGARD ADVISOR TECHNOLOGIES | LONDON PACIFIC ADVISORY SERVICES INC. | LONDON PACIFIC ADVISORS | FOLIO DYNAMICS, INC. | FDX ADVISORS, INC.

CRD#: 104601 / SEC#: 801-29775

RIA
Registered Investment Advisory firm - (7/2/1987 Approved)

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
RR
IAR
Series 66
Date: 6/13/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/11/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/4/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/8/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/11/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/22/2009
General Securities Principal Examination

Current Firm

FA
FDX ADVISORS, INC.
ENVESTNET CAPITAL MANAGEMENT | SUNGARD ADVISOR TECHNOLOGIES, INC. | SUNGARD ADVISOR TECHNOLOGIES | LONDON PACIFIC ADVISORY SERVICES INC. | LONDON PACIFIC ADVISORS | FOLIO DYNAMICS, INC. | FDX ADVISORS, INC.

CRD#: 104601 / SEC#: 801-29775

RIA
Registered Investment Advisory firm - (7/2/1987 Approved)
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Contact information

Main Address
222 N. Lasalle St., Suite 625, Chicago, IL 60601
Mailing Address
1000 Chesterbrook Blvd, Suite 250, Berwyn, PA 19312
Phone number
(312) 827-2800
Established
Firm type
Fiscal year end
# of Employees
20

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FDX ADVISORS FORM ADV PART 2A (12/8/2025)

Regulatory assets under management

Total Number of Accounts5,003
AUM (Assets Under Management)$ 926,084,276

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.

Company Information

FDX ADVISORS, INC.

CRD#: 104601

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