Tasha R. Dunne
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.
Tasha Renee Dunne was a registered financial professional .
Tasha is a previously registered financial professional and started their career in finance in 1999. Tasha had worked at 4 firms and has passed the Series 65, 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
May 2, 2014 - December 9, 2014
FIRST BROKERAGE AMERICA, L.L.C.
May 2, 2014 - December 9, 2014
FIRST BROKERAGE AMERICA, L.L.C.
March 12, 2013 - May 1, 2014
FIRST STATE FINANCIAL MANAGEMENT, INC.
March 12, 2013 - May 1, 2014
FIRST STATE FINANCIAL MANAGEMENT, INC.
October 3, 2011 - February 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
September 13, 2011 - February 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - April 21, 2011
EDWARD JONES
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
FIRST BROKERAGE AMERICA, L.L.C.
CRD#: 43431 / SEC#: , 8-50271
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ELLEN C. DIERBERG FAMILY TRUST | OWNER | |
| JAMES F. DIERBERG II FAMILY TRUST | OWNER | |
| MICHAEL J. DIERBERG FAMILY TRUST | OWNER | |
| DIERBERG, MARY WELP | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | 4053054 |
| FIRST BANKS, INC | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | |
| FURMAN, EDWARD DAVID | MSRB PRINCIPAL | 1426353 |
| PRESSON, DAVID ALAN | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER | 1237920 |
| ROBERTS, SARAH ANN | OPERATIONS MANAGER | 2472587 |
| TODD, EUGENE REEVES | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 2639876 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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