George J. Dunn
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.
George James Dunn was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1968. George had worked at 11 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2005 - July 30, 2012
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 15, 1996 - April 30, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
February 2, 1996 - May 24, 1996
FLEET BROKERAGE SECURITIES, INC.
January 24, 1996 - February 6, 1996
SHAWMUT BROKERAGE, INC.
April 22, 1989 - April 4, 1995
MORGAN STANLEY DW INC.
March 29, 1979 - December 6, 1988
ADVEST, INC.
May 30, 1978 - April 4, 1989
T. E. DESMOND CO.
February 15, 1977 - June 22, 1978
FIRST OF MICHIGAN CORPORATION
November 8, 1974 - April 8, 1977
SHEARSON HAYDEN STONE INC.
June 26, 1974 - November 8, 1974
HAYDEN STONE INC.
March 7, 1968 - July 13, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
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 1
Date: 3/7/1968
Registered Representative ExaminationCurrent Firm
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 18353 / SEC#: , 8-36540
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIFM HOLDCO, LLC | SOLE MEMBER | |
| HENNING, MEREDITH FARWELL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4315489 |
| LEE, H SOO | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 6834507 |
| LEIBOWITZ, KAREN | PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2693999 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| TAITE, LOUIS ANTHONY | CHIEF OPERATIONS OFFICER AND SENIOR VICE PRESIDENT | 5065572 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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