Shane T. Dungey
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.
Shane Trevor Dungey was a registered financial professional .
Shane is a previously registered financial professional and started their career in finance in 2009. Shane had worked at 3 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2014 - February 25, 2019
ATB CAPITAL MARKETS USA INC.
August 28, 2009 - August 20, 2014
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
February 26, 2009 - August 28, 2009
TRISTONE CAPITAL (U.S.A.) INC.
Primary Firm SEC Registration
ATB CAPITAL MARKETS USA INC.
CRD#: 155053 / SEC#: 801-128511, 8-68692
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 37
Date: 2/25/2009
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
ATB CAPITAL MARKETS USA INC.
CRD#: 155053 / SEC#: 801-128511, 8-68692
Contact information
FINRA licenses (53 States and Territories)
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.
