Lance 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.
Lance Arthurton Dunn was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 2007. Lance had worked at 1 firm and has passed the Series 63 and Series 62 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2009 - March 4, 2010
THE ROCKWELL FINANCIAL GROUP, INC.
September 26, 2007 - March 12, 2008
THE ROCKWELL FINANCIAL GROUP, 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
Series 62
Date: 9/5/2007
Corporate Securities Limited Representative ExaminationCurrent Firm
THE ROCKWELL FINANCIAL GROUP, INC.
CRD#: 26153 / SEC#: , 8-42399
Contact information
FINRA licenses (25 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
