Michael P. Dunne
Professional summary
Michael P Dunne was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Michael had worked at 2 firms, which includes BANC OF AMERICA SPECIALIST INC., REDI GLOBAL TECHNOLOGIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2005 - January 22, 2007
BANC OF AMERICA SPECIALIST, INC.
June 11, 2003 - March 7, 2005
REDI GLOBAL TECHNOLOGIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 21
Date: 6/8/2004
NYSE Front Line Specialist ClerkSeries 25
Date: 10/9/2003
NYSE Trading Assistant ExaminationCurrent Firm
BANC OF AMERICA SPECIALIST, INC.
CRD#: 103971 / SEC#: , 8-52439
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NB HOLDINGS CORPORATION | STOCK HOLDER | |
| CAWLEY, KATHLEEN | CHIEF COMPLIANCE OFFICER & GENERAL PRINCIPAL | 1129804 |
Disclosures
| Regulatory Event | 7 |
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