Martha J. Dunham
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.
Martha Jane-byrd Dunham, who also goes by Martha J Byrd, Martha Jane Byrd Dunham, Martha J Maston, Martha J Shaw, was a registered financial professional .
Martha is a previously registered financial professional and started their career in finance in 2015. Martha had worked at 1 firm and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2017 - July 19, 2018
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
June 30, 2015 - September 15, 2015
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
Primary Firm SEC Registration
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
CRD#: 15356 / SEC#: 801-21317, 8-32139
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
CRD#: 15356 / SEC#: 801-21317, 8-32139
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LU, KATHRYN ANNE | EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 5605579 |
Regulatory assets under management
| Total Number of Accounts | 22 |
| AUM (Assets Under Management) | $ 335,621,798 |
Disclosures
| Regulatory Event | 2 |
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.
