James E. Dunniway
Professional summary
James Edward Dunniway SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, James had worked at 8 firms, which includes ACUMENT SECURITIES INC., EDWARD JONES, PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, E. F. HUTTON & COMPANY INC, CITIGROUP GLOBAL MARKETS INC., SUTRO & CO. INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 1993 - March 17, 1997
ACUMENT SECURITIES, INC.
July 23, 1991 - September 30, 1992
EDWARD JONES
November 30, 1990 - September 11, 1991
PRUDENTIAL EQUITY GROUP, LLC
December 22, 1980 - December 4, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 1980 - January 22, 1981
E. F. HUTTON & COMPANY INC
June 1, 1979 - July 23, 1980
CITIGROUP GLOBAL MARKETS INC.
May 25, 1978 - March 12, 1979
SUTRO & CO. INCORPORATED
May 3, 1976 - July 5, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
September 25, 1975 - May 19, 1976
SUTRO & 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
PC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
ACUMENT SECURITIES, INC.
CRD#: 7661 / SEC#: , 8-22999
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
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