Stephen C. 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.
Stephen Ching Dunn was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2007. Stephen had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2009 - May 11, 2018
MEI NEW YORK, INC
September 23, 2009 - May 14, 2018
ENLACE MARKETS, INC.
January 16, 2007 - May 4, 2009
MEI NEW YORK, INC
January 12, 2007 - May 4, 2009
ENLACE MARKETS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MEI NEW YORK, INC
CRD#: 140807 / SEC#: , 8-67341
Contact information
Documents
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.
