Denis M. 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.
Denis Matthew Dunn, who also goes by Denis Dunn, Dennis M Dunn, Dennis Dunn, was a registered financial professional .
Denis is a previously registered financial professional and started their career in finance in 2004. Denis had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2017 - May 21, 2018
RESOURCE SECURITIES LLC
March 30, 2016 - October 10, 2017
VONTOBEL SECURITIES LTD.
July 18, 2011 - December 18, 2015
AMG DISTRIBUTORS, INC.
June 4, 2010 - March 2, 2011
ECHOTRADE LLC
February 25, 2004 - July 19, 2005
FIS BROKERAGE & SECURITIES 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
RESOURCE SECURITIES LLC
CRD#: 133022 / SEC#: , 8-66669
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAI VENTURES LLC | SOLE SHAREHOLDER | |
| BLOCK, LAWRENCE STEVEN | PRESIDENT, CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 3006613 |
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.
