Michael S. Dudman
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.
Michael Steven Dudman, who also goes by Michael S Dudman, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1976. Michael had worked at 18 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 7, Series 24, Series 8 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2015 - September 16, 2015
SUNBELT SECURITIES, INC.
May 13, 2014 - April 3, 2015
MDX WEALTH MANAGEMENT
April 7, 1997 - October 4, 2006
WELLS FARGO CLEARING SERVICES, LLC
April 2, 1997 - October 4, 2006
WELLS FARGO CLEARING SERVICES, LLC
January 19, 1995 - February 13, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 1988 - November 14, 1994
CITIGROUP GLOBAL MARKETS INC.
June 10, 1987 - July 29, 1988
CIBC WORLD MARKETS CORP.
March 27, 1986 - June 9, 1987
MONY SECURITIES CORPORATION
July 5, 1985 - December 16, 1985
PACIFIC SOUTHERN SECURITIES, INC.
September 13, 1983 - September 15, 1983
BREUER CAPITAL CORPORATION
October 15, 1982 - January 14, 1983
WALFORD, DEMARET & CO., INC.
June 19, 1982 - October 1, 1982
CENTENNIAL STATE SECURITIES, INC.
December 22, 1981 - June 3, 1982
ROSS, STEBBINS INC.
November 2, 1981 - April 16, 1982
HAAS SECURITIES CORPORATION
February 10, 1981 - October 21, 1981
JOHN MUIR & CO.
February 8, 1980 - January 18, 1981
PRUDENTIAL EQUITY GROUP, LLC
February 16, 1979 - January 10, 1980
LEHMAN BROTHERS INC.
March 28, 1977 - May 26, 1979
E. F. HUTTON & COMPANY INC
January 27, 1976 - May 8, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
SUNBELT SECURITIES, INC.
CRD#: 42180 / SEC#: 801-71479, 8-49748
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 5
Date: 3/21/1989
Interest Rate Options ExaminationSeries 8
Date: 2/9/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 7/17/1978
NYSE Branch Manager ExaminationCurrent Firm
SUNBELT SECURITIES, INC.
CRD#: 42180 / SEC#: 801-71479, 8-49748
Contact information
SEC notice filing (39 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BUCKLEY, THOMAS FRANCIS | FINANCIAL OPERATIONS PRINCIPAL | 1563361 |
| MILLER, RAYMOND JOSEPH | OFFICE MANAGER/COMPLIANCE | 856248 |
| SMETEK, DAVID ANTHONY | PRESIDENT / SECRETARY | 1246996 |
| SMETEK, PATRICK JOSEPH | REGISTERED OPTIONS PRINICPAL | 1052695 |
| SMETEK, PATRICK JOSEPH | CHIEF COMPLIANCE OFFICER | 1052695 |
| YOUNG, DAGNY WRIGHT | MUNICIPAL SECURITIES PRINCIPAL | 2050615 |
Regulatory assets under management
| Total Number of Accounts | 5,355 |
| AUM (Assets Under Management) | $ 2,024,286,577 |
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.
