Michael Sean Dunn
Professional Summary
Michael Sean Dunn, who also goes by Michael Dunn, is a registered financial advisor currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Lake Mary, Florida. Michael is registered as a RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael Sean Dunn, Michael Dunn
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
RBC CAPITAL MARKETS, LLC
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
RBC CAPITAL MARKETS, LLC
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
RBC CAPITAL MARKETS, LLC
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures on record.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
RBC CAPITAL MARKETS, LLC
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
RBC CAPITAL MARKETS, LLC
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
ASCENSUS BROKER DEALER SERVICES, INC. | UPROMISE INVESTMENTS, INC. | PREMIER MUTUAL FUND SERVICES, INC. | PREMIER DISTRIBUTOR, INC. | ASCENSUS BROKER DEALER SERVICES, LLC
Contact Information
Main Address
140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494Mailing Address
140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494Phone Number
(978) 885-0873Established
Delaware since 01/01/2018Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASCENSUS, LLC | 100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC | — |
| DUNN, MICHAEL SEAN | SENIOR VICE PRESIDENT | 3045371 |
| FOLMER, MICHAEL ROBERT | TREASURER AND VICE PRESIDENT, TAX AND FINANCE | 5655451 |
| GEARIN, JAMES M | PRESIDENT | 1405150 |
| GINGOLASKI, DENISE MAKSIMOW | FINANCIAL AND OPERATIONS PRINCIPAL | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL FINANCIAL OFFICER | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL OPERATIONS OFFICER | 6218228 |
| MACINNIS, DAVID BRUCE | CHIEF COMPLIANCE OFFICER | 3184368 |
| MACINNIS, DAVID BRUCE | SECRETARY | 3184368 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
RBC CAPITAL MARKETS, LLC
SOLTIS INVESTMENT ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
RBC CAPITAL MARKETS, LLC
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
(9/25/2024)
(4/13/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1998About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Sep 2002About the Series 26 examSRO Registrations
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
RBC CAPITAL MARKETS, LLC
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Michael Sean Dunn's CRS (Customer Relationship Summary).
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
RBC CAPITAL MARKETS, LLC
SOLTIS INVESTMENT ADVISORS, LLC