Ashlee C. Dunagan

JDL SECURITIES

Newport Beach, CA 92660-2816

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CRD#: 4751203

Professional summary

Ashlee Catherine Dunagan, who also goes by Ashlee Catherine Smith, is a registered financial professional currently at JDL SECURITIES CORPORATION located in Newport Beach, California.

Ashlee is registered as a RR (Registered Representative) and started their career in finance in 2004. Ashlee has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ashlee Catherine Smith

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ashlee Catherine Dunagan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 16, 2015 - Present

JDL SECURITIES CORPORATION

Office #1: 1001 Dove Street Suite 160, Newport Beach, CA 92660-2816Office #2: 1001 Dove Street, Suite 160, Newport Beach, CA 92660-2816

CRD#: 28131

Newport Beach, CA

Past

July 29, 2005 - June 19, 2013

J.DEREK LEWIS & ASSOCIATES, INC.

RIA

CRD#: 122307

NEWPORT BEACH, CA

Past

March 5, 2004 - December 13, 2013

JDL SECURITIES CORPORATION

CRD#: 28131

NEWPORT BEACH, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/16/2015)

Exams

State Security Law Exam

IAR

Series 65

Date: 7/28/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/13/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/3/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/25/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

JDL SECURITIES CORPORATION

JDL AND CO., INC. | JDL SECURITIES CORPORATION

CRD#: 28131 / SEC#: , 8-43494

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

1001 Dove Street, Suite 160, Newport Beach, CA 92660-2816

Mailing Address

1001 Dove Street, Suite 160, Newport Beach, CA 92660-2816

Phone number

(949) 752-5206

Established

California since 01/15/1991

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
J.DEREK LEWIS & ASSOCIATES, INC.	PARENT COMPANY	122307
DALBY, RION JAMES	REGISTERED REP	5122686
DUNAGAN, KELLY ALLAN JR.	REGISTERED REP	4777170
ESPINILI, KATHRYN ELIZABETH	CHIEF COMPLIANCE OFFICER	1220070
FERDI, MARK ANTHONY	REGISTERED REP	7146341
GREENLEAF, RENY VESSELA M	CHIEF FINANCIAL OFFICER	5479673
HYEPOCK, DOUGLAS GLENN	SECRETARY, DIRECTOR	2282539
KNUTSEN, ROBERT WAYNE II	CEO	5639871
VIDAL, ANDREW JOSEPH	REGISTERED REP	6877943

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Ashlee C. Dunagan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ashlee Catherine Dunagan's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.DEREK LEWIS & ASSOCIATES, INC.

JDL SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 7/28/2005

Series 63

Date: 4/13/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/3/2004

Series 24

Date: 1/25/2005

FINRA

Current Firm

JDL SECURITIES CORPORATION

Contact information

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JDL SECURITIES CORPORATION

TRUST BUT VERIFY

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