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JD

Jeremy D. Dunlop

Some features on this profile are disabled
CRD#: 5732253
JD

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.

Jeremy David Dunlop was a registered financial professional .

Jeremy is a previously registered financial professional and started their career in finance in 2010. Jeremy had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

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

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

Past

May 2, 2012 - September 26, 2012

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

May 2, 2012 - December 9, 2019

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

March 23, 2010 - February 7, 2012

CGS INTERNATIONAL SECURITIES USA, INC.

BD
CRD#: 141892
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/1/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/22/2010
General Securities Representative Examination

Current Firm

CG
CANACCORD GENUITY SECURITIES LLC
C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) | UNTERBERG, HARRIS & DE SANTIS L.P. | UNTERBERG HARRIS, L.P. | COLLINS STEWART LLC. | COLLINS STEWART LLC | CANACCORD GENUITY SECURITIES LLC | C.E. UNTERBERG,TOWBIN ADVISERS LLC | C.E. UNTERBERG, TOWBIN, LLC. | C.E. UNTERBERG, TOWBIN LLC

CRD#: 24790 / SEC#: , 8-41403

BD
Terminated by SEC on 11/27/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/01/2003
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
COLLINS STEWART INC.HOLDING COMPANY
GREEN, HOWARD MICHAELEXECUTIVE COMMITTEE MEMBER, CFO2535812
SORRENTINO, RICHARD ANTHONYCHIEF COMPLIANCE OFFICER430898
TOTH, STEPHEN MICHAELEXECUTIVE COMMITTEE MEMBER, COO2867919
WHALING, MARK DRISCOLLEXECUTIVE COMMITTEE MEMBER, PRESIDENT3100523

Disclosures

Regulatory Event21
Arbitration1

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

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

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