Joseph 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.
Joseph A Dunn III, who also goes by Jay Aloysius Dunn III, Joseph A Dunn, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2005. Joseph had worked at 5 firms and has passed the Series 63, SIE, Series 79 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
June 18, 2013 - December 15, 2014
INDEPENDENT BROKERAGE SOLUTIONS LLC
March 29, 2011 - June 14, 2013
GLEACHER & COMPANY SECURITIES, INC.
April 28, 2010 - April 20, 2011
JONES LANG LASALLE SECURITIES, LLC
March 23, 2006 - February 13, 2009
MORGAN STANLEY & CO. LLC
October 11, 2005 - April 7, 2006
CITIGROUP GLOBAL MARKETS INC.
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
INDEPENDENT BROKERAGE SOLUTIONS LLC
CRD#: 153563 / SEC#: , 8-68549
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
