Michael D. Dunham
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 Deane Dunham was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1977. Michael had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 87, Series 31, Series 15, Series 5, PC, Series 7, Series 53, Series 4, Series 24 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
December 21, 2010 - July 11, 2016
VFINANCE INVESTMENTS, INC
July 5, 2007 - July 11, 2016
B. RILEY WEALTH ADVISORS, INC.
May 18, 2007 - July 11, 2016
NATIONAL SECURITIES CORPORATION
May 10, 2001 - May 21, 2007
FIRST MONTAUK SECURITIES CORP.
September 13, 2000 - May 21, 2007
FIRST MONTAUK SECURITIES CORP.
June 1, 1999 - October 7, 1999
FIRST MONTAUK SECURITIES CORP.
December 11, 1992 - April 26, 1999
UBS FINANCIAL SERVICES INC.
September 4, 1990 - December 16, 1992
WELLS FARGO CLEARING SERVICES, LLC
April 8, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 26, 1982 - April 29, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
July 1, 1977 - June 2, 1982
FOSTER & MARSHALL 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 15
Date: 6/7/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/13/1982
Interest Rate Options ExaminationPC
Date: 9/1/1977
AMEX Put and Call ExamSeries 40
Date: 12/22/1978
Registered Principal ExaminationCurrent Firm
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
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.
