Kathryn A. Dunn
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.
Kathryn Ann Dunn, who also goes by Kathryn Ann Biggs, Kathryn A Dunn, Kathyrn A Dunn, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 2003. Kathryn had worked at 7 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2021 - January 10, 2022
DIGITAL BROKERAGE SERVICES LLC
March 12, 2021 - January 10, 2022
FIDELITY PRIME FINANCING
December 19, 2013 - December 31, 2019
FIDELITY DISTRIBUTORS CORPORATION
December 19, 2013 - January 7, 2022
FIDELITY BROKERAGE SERVICES LLC
December 19, 2013 - January 10, 2022
FIDELITY DISTRIBUTORS COMPANY LLC
November 26, 2013 - January 7, 2022
NATIONAL FINANCIAL SERVICES LLC
October 28, 2003 - June 15, 2006
BROWNCO, LLC
July 7, 2003 - October 27, 2003
NATIONAL FINANCIAL SERVICES LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
DIGITAL BROKERAGE SERVICES LLC
CRD#: 308213 / SEC#: , 8-70512
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| CULLARO, GIUSEPPE | PRESIDENT, CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 4738727 |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| O'BRIEN, EDWARD DANIEL | DIRECTOR | 2239064 |
| RHODES, NOAH BUTLER | PRINCIPAL FINANCIAL OFFICER | 6546392 |
| WEAVER, BRYAN ROBERT | CHIEF LEGAL OFFICER | 2933941 |
Red Flags
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