Hobart M. Dunn
Professional summary
Hobart Marcellus Dunn IV, who also goes by Chip Dunn IV, is a registered financial professional currently at ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.
Hobart is registered as a RR (Registered Representative) and started their career in finance in 1998. Hobart has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 6, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Hobart Marcellus Dunn IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2006 - Present
ALLY INVEST SECURITIES LLC
Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202November 18, 2015 - March 30, 2016
MB TRADING
August 9, 2012 - December 20, 2012
ZECCO TRADING, INC.
April 26, 2006 - May 12, 2006
G-2 TRADING,LLC
January 11, 2000 - May 24, 2001
RUMSON CAPITAL, LLC
January 29, 1999 - December 31, 1999
MILESTONE FINANCIAL SERVICES, INC.
June 19, 1998 - August 12, 1998
FRANKLIN ROSS, 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
(9/20/2006)
(9/22/2006)
(9/14/2006)
(9/12/2006)
(9/11/2006)
(5/12/2006)
(5/16/2006)
(9/12/2006)
(5/25/2006)
(5/22/2006)
(9/11/2006)
(9/11/2006)
(9/12/2006)
(9/11/2006)
(9/12/2006)
(9/11/2006)
(9/12/2006)
(9/11/2006)
(6/22/2006)
(5/15/2006)
(5/16/2006)
(9/19/2006)
(9/12/2006)
(9/13/2006)
(9/20/2006)
(9/11/2006)
(9/11/2006)
(2/22/2007)
(9/21/2006)
(9/11/2006)
(6/9/2006)
(9/11/2006)
(9/11/2006)
(9/11/2006)
(9/11/2006)
(5/15/2006)
(9/11/2006)
(9/11/2006)
(9/11/2006)
(5/23/2006)
(9/11/2006)
(9/11/2006)
(9/11/2006)
(9/13/2006)
(9/20/2006)
(9/11/2006)
(5/15/2006)
(5/15/2006)
(9/11/2006)
(9/11/2006)
(9/11/2006)
(9/11/2006)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
