James G. 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.
James Gardner Dunn, who also goes by Jim Dunn, Jim Gardner, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1967. James had worked at 13 firms and has passed the Series 63, Series 3 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
August 22, 1988 - June 7, 1989
HANIFEN, IMHOFF SECURITIES CORP.
June 26, 1987 - October 17, 1988
HANIFEN, IMHOFF INC.
July 23, 1984 - July 9, 1987
PRUDENTIAL EQUITY GROUP, LLC
June 19, 1983 - July 30, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
June 2, 1982 - July 20, 1984
RODMAN & RENSHAW INC.
October 1, 1980 - January 15, 1982
ENTERPRISE FUND DISTRIBUTORS, INC.
July 1, 1974 - November 16, 1978
GENERAL AMERICAN LIFE INSURANCE COMPANY
October 31, 1973 - October 18, 1975
TIME EQUITIES, INC.
August 7, 1973 - November 18, 1973
NORTH AMERICAN EQUITY CORPORATION
June 15, 1973 - November 18, 1973
INDEPENDENT SECURITIES CORPORATION
November 24, 1972 - June 15, 1973
EQUITY FUNDING SECURITIES CORP
April 18, 1972 - February 28, 1974
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 16, 1967 - March 16, 1971
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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: 10/3/1967
Registered Representative ExaminationCurrent Firm
HANIFEN, IMHOFF SECURITIES CORP.
CRD#: 10620 / SEC#: , 8-27488
Contact information
Documents
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.
