Christopher S. Dunlap
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.
Christopher Seth Dunlap, who also goes by C Seth Dunlap, Seth Dunlap, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2003. Christopher had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2012 - August 15, 2016
BARON CAPITAL, INC.
May 24, 2011 - October 1, 2012
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
October 7, 2010 - May 24, 2011
EAGLE STRATEGIES LLC
July 27, 2010 - October 1, 2012
NYLIFE DISTRIBUTORS LLC
September 5, 2006 - April 6, 2010
NUVEEN FUND ADVISORS, LLC
August 31, 2006 - April 6, 2010
NUVEEN SECURITIES, LLC
January 1, 2006 - August 1, 2006
LASALLE FINANCIAL SERVICES, INC.
November 2, 2004 - August 1, 2006
LASALLE FINANCIAL SERVICES, INC.
October 10, 2003 - September 8, 2004
MML INVESTORS 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
Current Firm
BARON CAPITAL, INC.
CRD#: 10538 / SEC#: , 8-27533
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARON CAPITAL GROUP, INC. | SHAREHOLDER | |
| BARON, RONALD STEPHEN | DIRECTOR, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 13187 |
| BALTOVSKI, ALEXANDER | FINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2350828 |
| BARON, DAVID ROBERT | DIRECTOR | 3245808 |
| BARON, MICHAEL R. | DIRECTOR | 4393612 |
| BEASLEY, LOUIS BARRETT | CHIEF COMPLIANCE OFFICER | 3156061 |
| GREENBERG, CLIFFORD | DIRECTOR AND SENIOR VICE PRESIDENT | 2292041 |
| NAGLER, ANITA MARIE | DIRECTOR | 2503631 |
| PATALINO, PATRICK MICHAEL | SVP, CHIEF OPERATING OFFICER | 4481185 |
| PECK, ANDREW JOSHUA | DIRECTOR AND SENIOR VICE PRESIDENT | 5348729 |
| ROBBINS, SUSAN JAN | DIRECTOR AND VICE PRESIDENT | 840688 |
| TREGLIA, KRISTINE F | VP, CHIEF LEGAL OFFICER | 6384500 |
Disclosures
| Regulatory Event | 8 |
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.
