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David Alan Dunn

CRD# 502367·Registered 1978 - 1996
Previously Registered: Being a previously registered professional could mean that David 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.

Professional Summary

David Alan Dunn was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1978 - 1996. David had worked at 6 firms and has passed the Series 63, Series 3, Series 7, Series 52 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

48 years in the financial services industry

Current & Past Employments

PREMIER FINANCIAL SECURITIES, INC.·CRD# 39126
BD
Lincoln, NE
May 28, 1996 - October 23, 1996
DAIN RAUSCHER INCORPORATED·CRD# 7600
BD
April 9, 1990 - July 13, 1995
MCCARTHY & CO.·CRD# 18489
BD
Omaha, NE
October 28, 1987 - April 9, 1990
LEHMAN BROTHERS INC.·CRD# 7506
BD
August 18, 1983 - November 3, 1987
CHILES, HEIDER & CO., INC.·CRD# 5159
BD
September 22, 1980 - August 22, 1983
ROBERT E. SCHWESER COMPANY INCORPORATED·CRD# 716
BD
February 9, 1978 - October 23, 1980

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Current Firm

PF
PREMIER FINANCIAL SECURITIES, INC.

CRIDER & ASSOCIATES INVESTMENTS, INC. | PREMIER FINANCIAL SECURITIES, INC.

CRD#: 39126 / SEC#: 8-48550
BD
Terminated by SEC on 02/05/2006

Contact Information

Established

Nebraska since 11/07/1994

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
HASSLER, PAUL BURTONPRESIDENT858435

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1981About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Dec 1982About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Oct 1980About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed Feb 1979About the Series 52 exam

Series 24 — General Securities Principal Examination

Passed Jan 1988About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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