Sharon 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.
Sharon Jones Dunn, who also goes by Sharon J Dunn, Sharon Jones, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1976. Sharon had worked at 3 firms and has passed the Series 63, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2006 - June 26, 2008
AUSTIN ATLANTIC CAPITAL INC.
July 15, 1986 - January 19, 1988
GENERAL FINANCIAL SERVICES, INC.
May 7, 1976 - October 13, 2005
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
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
F04
Date: 5/19/1976
Financial Principal ExaminationSeries 40
Date: 4/23/1976
Registered Principal ExaminationCurrent Firm
AUSTIN ATLANTIC CAPITAL INC.
CRD#: 43981 / SEC#: , 8-50509
Contact information
FINRA licenses (50 States and Territories)
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.
