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MD

Michael J. Dunham

FIRST AVENUE
New York, NY 10017
Some features on this profile are disabled
CRD#: 2533609
MD

Professional summary

Michael James Dunham is a registered financial professional currently at FIRST AVENUE located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Michael James Dunham's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

March 12, 2025 - Present

FIRST AVENUE

Office #1: 461 Fifth Avenue 14th Floor, New York, NY 10017
BD
CRD#: 145860
New York, NY
Past

February 7, 2022 - December 13, 2024

MERCURY CAPITAL ADVISORS, LLC

BD
CRD#: 152338
NEW YORK, NY
Past

January 5, 2006 - January 3, 2022

PTP SECURITIES, LLC

BD
CRD#: 136832
CANTON, CT
Past

August 24, 2005 - December 21, 2005

JEROME P. GREENE & ASSOCIATES, LLC

BD
CRD#: 46075
INDIANAPOLIS, IN
Past

November 6, 1998 - August 25, 2005

TCW FUNDS DISTRIBUTORS LLC

BD
CRD#: 16670
LOS ANGELES, CA
Past

July 28, 1997 - September 15, 1998

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

December 6, 1994 - April 1, 1997

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(3/12/2025)
RR
Arizona
(3/12/2025)
RR
Arkansas
(3/12/2025)
RR
California
(3/12/2025)
RR
Colorado
(3/12/2025)
RR
Connecticut
(3/12/2025)
RR
Delaware
(3/12/2025)
RR
District of Columbia
(3/12/2025)
RR
Florida
(3/12/2025)
RR
Georgia
(3/12/2025)
RR
Idaho
(3/12/2025)
RR
Illinois
(3/12/2025)
RR
Indiana
(3/12/2025)
RR
Iowa
(3/12/2025)
RR
Kansas
(3/12/2025)
RR
Kentucky
(3/12/2025)
RR
Louisiana
(3/12/2025)
RR
Maine
(3/12/2025)
RR
Maryland
(3/12/2025)
RR
Massachusetts
(3/12/2025)
RR
Michigan
(3/12/2025)
RR
Minnesota
(3/12/2025)
RR
Mississippi
(3/12/2025)
RR
Missouri
(3/12/2025)
RR
Montana
(3/12/2025)
RR
Nebraska
(3/12/2025)
RR
Nevada
(3/12/2025)
RR
New Hampshire
(3/12/2025)
RR
New Jersey
(3/12/2025)
RR
New Mexico
(3/12/2025)
RR
New York
(3/12/2025)
RR
North Carolina
(3/12/2025)
RR
North Dakota
(3/12/2025)
RR
Ohio
(3/14/2025)
RR
Oklahoma
(3/12/2025)
RR
Oregon
(3/12/2025)
RR
Pennsylvania
(3/12/2025)
RR
Rhode Island
(3/12/2025)
RR
South Carolina
(3/12/2025)
RR
South Dakota
(3/12/2025)
RR
Tennessee
(3/12/2025)
RR
Texas
(3/12/2025)
RR
Utah
(3/12/2025)
RR
Vermont
(3/12/2025)
RR
Virginia
(3/12/2025)
RR
Washington
(3/12/2025)
RR
West Virginia
(3/12/2025)
RR
Wisconsin
(3/12/2025)
RR
Wyoming
(3/12/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/5/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/8/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FA
FIRST AVENUE
FAP USA, L.P. | FIRST AVENUE

CRD#: 145860 / SEC#: , 8-67758

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

Main Address
461 Fifth Avenue 14th Floor, New York, NY 10017
Mailing Address
461 Fifth Avenue 14th Floor, New York, NY 10017
Phone number
(646) 582-5777
Established
Delaware since 02/14/2007
Firm type
Partnership
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FAP USA, L.L.C.LIMITED PARTNER
BUCKLEY, PAUL DEREKPARTNER, CEO1822709
FAP GEN PAR, L.L.C.GP
PLANT, LYDIA HYUNJUFINOP, CFO AND COO7390471
RYAN, KIMBERLY ANNCHIEF COMPLIANCE OFFICER4316310

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

FIRST AVENUE

CRD#: 145860New York, NY 10017

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