Michael W. Dunlop
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.
Michael William Scott Dunlop, who also goes by Michael W Dunlop, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2013 - February 1, 2017
STRATEGIC ADVISERS LLC
June 20, 2007 - January 31, 2017
FIDELITY BROKERAGE SERVICES LLC
October 20, 2004 - October 26, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 26, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 21, 2003 - October 20, 2004
QUICK & REILLY, INC.
October 3, 2003 - October 20, 2004
QUICK & REILLY, INC.
January 14, 1999 - October 2, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 1997 - October 2, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
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
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
