Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric n.? Claim Your ProfileEric Dunn is a financial advisor who has been in the industry since August 1, 1989. Eric is currently registered with UBS Financial Services Inc. Eric has held previous positions with Wachovia Securities, LLC, Prudential Securities Incorporated, Morgan Stanley DW Inc., Meridian, Dunhill & Co., Inc., Meridian Associates, Inc. and Prudential-Bache Securities Inc. Eric holds several licenses and registrations including Series 3, 4, 7, 9, 10, 24, 31, 53, 63, and 65. Eric is licensed to sell securities in 35 states and the District of Columbia. Eric offers various investment services including financial planning, portfolio management, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
FL
09/21/2015 - Present
UBS Financial Services Inc. (SARASOTA FL)
FL
07/01/2003 - 11/20/2008
WACHOVIA SECURITIES, LLC (SARASOTA FL)
NY
04/16/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/12/1996 - 04/17/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
NA
10/23/1991 - 07/11/1995
MERIDIAN, DUNHILL & CO., INC.
NA
01/01/1991 - 08/13/1991
MERIDIAN ASSOCIATES, INC.
NA
04/02/1990 - 08/13/1991
MERIDIAN ASSOCIATES, INC.
NY
12/22/1987 - 04/18/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
IA
Issued 12/26/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/06/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/16/1992
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/11/1992
Series 4 - Registered Options Principal Examination
BC
Issued 11/05/1991
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/26/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 01/29/1988
Series 3 - National Commodity Futures Examination
BC
Issued 12/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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