Kathleen M. 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.
Kathleen Mohney Dunn, who also goes by Kathleen Gail Dunn, Kathleen Gail Mohney, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1977. Kathleen had worked at 9 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2011 - May 1, 2012
FFEC WEALTH PARTNERS LLC
August 21, 2006 - July 6, 2009
FFEC WEALTH PARTNERS LLC
April 27, 2005 - March 13, 2006
WELLS FARGO CLEARING SERVICES, LLC
April 27, 2005 - March 13, 2006
WELLS FARGO CLEARING SERVICES, LLC
August 26, 2004 - October 29, 2004
OSAIC WEALTH, INC.
May 12, 2004 - September 22, 2004
HIGH MARK SECURITIES, INC.
March 1, 1985 - July 8, 1985
E. F. HUTTON & COMPANY INC
August 10, 1982 - March 4, 1985
JMB SECURITIES CORPORATION
June 25, 1979 - March 3, 1982
KENNEDY, CABOT & CO.
October 27, 1978 - September 8, 1979
E. F. HUTTON & COMPANY INC
September 26, 1978 - December 27, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
