Thomas J. 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.
Thomas Joseph Dunn, who also goes by Thomas J Dunn, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 11 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
April 23, 2015 - June 2, 2015
CHELSEA FINANCIAL SERVICES
October 16, 2014 - March 10, 2015
WINDSOR STREET CAPITAL, LP
October 26, 2011 - October 16, 2012
ROCKWELL GLOBAL CAPITAL LLC
May 18, 2009 - November 3, 2011
GARDEN STATE SECURITIES, INC.
May 7, 2007 - May 19, 2009
VFINANCE INVESTMENTS, INC
October 24, 2000 - May 8, 2007
JOSEPH STEVENS & CO., INC.
December 7, 1998 - November 9, 2000
LCP CAPITAL CORP.
May 20, 1998 - December 31, 1998
SHAMROCK PARTNERS, LTD
August 12, 1997 - May 18, 1998
J.P. TURNER & COMPANY, L.L.C.
May 2, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
August 23, 1996 - May 8, 1997
J.W. BARCLAY & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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