Scott R. Dunkin
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.
Scott Raymond Dunkin, who also goes by Scott R Dunkin, Scott Raymond Dunkin, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1995. Scott had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2017 - September 29, 2017
NEXT FINANCIAL GROUP, INC.
September 21, 2016 - December 13, 2016
LPL FINANCIAL LLC
January 3, 2013 - August 18, 2016
SWBC INVESTMENT SERVICES, LLC
January 25, 2011 - March 26, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 1, 2009 - October 29, 2010
CAPITAL ONE FINANCIAL ADVISORS LLC
September 4, 2009 - October 29, 2010
CAPITAL ONE INVESTMENT SERVICES LLC
July 6, 2005 - October 12, 2007
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - October 12, 2007
CHASE INVESTMENT SERVICES CORP.
August 21, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
August 19, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
October 23, 1999 - March 11, 2003
TD AMERITRADE, INC.
October 23, 1998 - May 25, 1999
MORGAN STANLEY DW INC.
March 9, 1995 - March 17, 1995
FORESTERS FINANCIAL SERVICES, INC.
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
