MD
Michael J. Dunne
MACQUARIE CAPITAL (USA)
NEW YORK, NY 10103
Some features on this profile are disabled
CRD#: 2720303
MD
Professional summary
Michael James Dunne, who also goes by Michael J Dunne, Michael James Dunne Jr, Michael Dunne, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael J Dunne | Michael James Dunne Jr | Michael Dunne
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael James Dunne's 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®
NoneExperience
Current
November 29, 2022 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: 660 5th Ave, New York, NY 10103BD
CRD#: 36368
NEW YORK, NY
Past
July 12, 2022 - October 26, 2022
INVESTEC SECURITIES (US) LLC
BD
CRD#: 138421
NEW YORK, NY
Past
May 20, 2008 - April 11, 2022
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
November 11, 2002 - May 15, 2008
ING FINANCIAL MARKETS LLC
BD
CRD#: 28872
NEW YORK, NY
Past
April 15, 2002 - May 20, 2002
BROKERAGEAMERICA, LLC
BD
CRD#: 47966
NEW YORK, NY
Past
January 18, 2002 - April 15, 2002
BROKERAGEAMERICA, INC
BD
CRD#: 103942
NE W YORK, NY
Past
February 18, 1999 - October 30, 2001
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
Past
August 24, 1998 - October 20, 1998
PALOMA SECURITIES L.L.C.
BD
CRD#: 24234
GREENWICH, CT
Past
September 26, 1997 - April 17, 1998
ING BARING (U.S.) SECURITIES, INC.
BD
CRD#: 5285
NEW YORK, NY
Past
July 24, 1997 - November 11, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 24, 1997 - November 11, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(11/29/2022)
RR
Alaska(11/29/2022)
RR
Arizona(11/29/2022)
RR
Arkansas(11/29/2022)
RR
California(11/29/2022)
RR
Colorado(11/29/2022)
RR
Connecticut(11/29/2022)
RR
Delaware(11/29/2022)
RR
District of Columbia(11/29/2022)
RR
Florida(11/29/2022)
RR
Georgia(11/29/2022)
RR
Hawaii(11/29/2022)
RR
Idaho(11/29/2022)
RR
Illinois(11/29/2022)
RR
Indiana(11/29/2022)
RR
Iowa(11/29/2022)
RR
Kansas(11/29/2022)
RR
Kentucky(11/29/2022)
RR
Louisiana(11/29/2022)
RR
Maine(11/29/2022)
RR
Maryland(11/29/2022)
RR
Massachusetts(11/29/2022)
RR
Michigan(11/29/2022)
RR
Minnesota(11/29/2022)
RR
Mississippi(11/29/2022)
RR
Missouri(11/29/2022)
RR
Montana(11/29/2022)
RR
Nebraska(11/29/2022)
RR
Nevada(11/29/2022)
RR
New Hampshire(11/29/2022)
RR
New Jersey(11/29/2022)
RR
New Mexico(11/29/2022)
RR
New York(11/29/2022)
RR
North Carolina(11/29/2022)
RR
North Dakota(11/29/2022)
RR
Ohio(11/30/2022)
RR
Oklahoma(11/29/2022)
RR
Oregon(11/29/2022)
RR
Pennsylvania(11/29/2022)
RR
Rhode Island(11/29/2022)
RR
South Carolina(11/29/2022)
RR
South Dakota(11/29/2022)
RR
Tennessee(11/29/2022)
RR
Texas(11/29/2022)
RR
Utah(11/29/2022)
RR
Vermont(11/29/2022)
RR
Virgin Islands(11/29/2022)
RR
Virginia(11/29/2022)
RR
Washington(11/29/2022)
RR
West Virginia(11/29/2022)
RR
Wisconsin(11/29/2022)
RR
Wyoming(11/29/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/29/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MC
MACQUARIE CAPITAL (USA) INC.
MACQUARIE CAPITAL (USA) INC. | MACQUARIE SECURITIES INC. | MACQUARIE SECURITIES (USA) INC. | MACQUARIE EQUITIES (U.S.A.) INC.
CRD#: 36368 / SEC#: , 8-47198
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
660 5th Ave, New York, NY 10103
Mailing Address
660 5th Ave, New York, NY 10103
Phone number
(212) 231-1000
Established
Delaware since 03/01/1994
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
