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Michael J. Bottomly

DUNN SECURITIES
Stuart, FL 34994
Some features on this profile are disabled
CRD#: 5543082
MB

Professional summary

Michael James Bottomly, who also goes by Michael Bottomly, Micheal Bottomly, is a registered financial professional currently at DUNN SECURITIES, LLC located in Stuart, Florida.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2016. Michael has worked at 2 firms and has passed the Series 3, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Bottomly | Micheal Bottomly

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael James Bottomly's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 18, 2020 - Present

DUNN SECURITIES, LLC

Office #1: 309 Se Osceola St Suite 350, Stuart, FL 34994Office #2: 309 Se Osceola St. Suite 350, Stuart, FL 34994-2240
BD
CRD#: 305349
Stuart, FL
Past

September 1, 2016 - November 13, 2018

ARCHER DISTRIBUTORS, LLC

BD
CRD#: 158961
LAUREL, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(11/3/2020)

Exams

General Industry/Product Exam
RR
Series 3
Date: 2/28/2020
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DUNN SECURITIES, LLC
DUNN SECURITIES, LLC

CRD#: 305349 / SEC#: , 8-70398

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
309 Se Osceola St. Suite 350, Stuart, FL 34994-2240
Mailing Address
309 Se Osceola St. Suite 350, Stuart, FL 34994-2240
Phone number
(772) 286-4777
Established
Delaware since 03/20/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DUNN CAPITAL MANAGEMENT, LLCMEMBER
BERGIN, MARTIN HAMILTONMEMBER5820351
BARRY, BRIAN WILLIAMPRINCIPAL2713492
DREYER, DAVID EUGENECHIEF COMPLIANCE OFFICER7829306
KAUPPI, DAVID ALLENMANAGER/FINOP7180217

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.

Company Information

DUNN SECURITIES, LLC

CRD#: 305349Stuart, FL 34994

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