Frank M. Dunlevy
Professional summary
Frank Miller Dunlevy is a registered financial professional currently at TD SECURITIES (USA) LLC located in Washington, District Of Columbia.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1978. Frank has worked at 6 firms and has passed the SIE, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank Miller Dunlevy's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 5, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 3000 K Street Nw Washington Harbour, Washington, DC 20007March 15, 2021 - April 11, 2024
COWEN AND COMPANY
March 5, 2004 - August 15, 2018
COWEN AND COMPANY
January 4, 1999 - March 1, 2004
THOMAS WEISEL PARTNERS LLC
October 1, 1997 - November 9, 1998
BANC OF AMERICA SECURITIES LLC
March 22, 1990 - October 1, 1997
MONTGOMERY SECURITIES
November 20, 1978 - February 7, 1990
CREDIT SUISSE SECURITIES (USA) LLC
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 40
Date: 11/13/1978
Registered Principal ExaminationFINRA
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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