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SS

Stephen Smith

DUNN RUSH & CO. LLC
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 5780805
SS

Professional summary

Stephen Smith is a registered financial professional currently at DUNN RUSH & CO. LLC located in Boston, Massachusetts.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2010. Stephen has worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 62 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) - BD

Click below to view Stephen Smith'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

April 21, 2010 - Present

DUNN RUSH & CO. LLC

Office #1: 75 Federal Street 21st Floor, Boston, MA, 02110
BD
CRD#: 150769
BOSTON, MA

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
Massachusetts
(5/10/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 5/7/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 4/20/2010
Corporate Securities Limited Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DR
DUNN RUSH & CO. LLC
DUNN & PARTNERS, LLC | DUNN RUSH & CO. LLC

CRD#: 150769 / SEC#: , 8-68293

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

Main Address
75 Federal Street 21st Floor, Boston, MA, 02110
Mailing Address
75 Federal Street 21st Floor, Boston, MA, 02110
Phone number
(617) 451-0001
Established
Massachusetts since 03/30/2009
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#
RUSH, GREGORY RONALDSENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER2958418
BEATON, DANIEL STEWARTFINANCIAL AND OPERATIONS PRINCIPAL (OUTSIDE) AND CHIEF FINANCIAL OFFICER4240769
DUNN, KEVIN JOSEPHSENIOR MANAGING DIRECTOR1920942

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 RUSH & CO. LLC

CRD#: 150769Boston, MA 02110

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