Kerry C. Dustin
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.
Kerry Charles Dustin, who also goes by Casey Dustin, Kc Dustin, Kerry Charles Dustin II, was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 2000. Kerry had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2011 - November 5, 2012
THINKEQUITY LLC
April 16, 2007 - June 16, 2011
DEUTSCHE BANK SECURITIES INC.
January 3, 2005 - January 8, 2007
MILLENCO LLC
March 15, 2004 - December 1, 2004
WELLS FARGO SECURITIES, LLC
October 30, 2000 - March 22, 2004
DEUTSCHE BANK SECURITIES 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
Exams
Current Firm
THINKEQUITY LLC
CRD#: 44274 / SEC#: 801-63835, 8-50602
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THINKEQUITY HOLDINGS LLC | HOLDING COMPANY OF THINKEQUITY LLC | |
| ARMSTRONG, MICHAEL BENJAMIN | CHIEF OPERATING OFFICER OF RESEARCH | 2806297 |
| BRITT, HARRIET JAYNE | CHIEF COMPLIANCE OFFICER | 1429634 |
| GONSALVES, DOUGLAS RONALD | HEAD OF INVESTMENT BANKING | 2356831 |
| HANSEN, HOLLY JOY | HEAD OF INSTUTIONAL SALES & DIRECTOR OF RESEARCH | 2169008 |
| JOHNSTON, PHILIP MURRAY | HEAD OF SALES TRADING | 1730461 |
| MACHIN, FRANCISCO JAVIER | CONTROLLER/FINOP | 4698240 |
| MONOPOLI, JACK GIACOMO | HEAD OF TRADING | 1718078 |
| NOLLENBERGER, BRUCE WESTON | HEAD OF THINKEQUITY ASSET AND WEALTH MANAGEMENT | 823846 |
| RAJ, DEEPAK DEV | EXECUTIVE VICE PRESIDENT | 2817606 |
| WEITGENANT, DAVID ANDREW | CROP & SROP | 2096196 |
| WRIGHT, GREGORY LANCE | CHIEF EXECUTIVE OFFICER | 1564124 |
Disclosures
| Regulatory Event | 4 |
| 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.
