Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Joseph Dunne is a financial professional with over 40 years of experience in the industry. James is currently registered with Piper Sandler & Co. in both New York and West Palm Beach. Prior to joining Piper Sandler & Co. in 2020, James was employed at Sandler, O'Neill & Partners, L.P. His experience includes investment banking and analytical reports. James is a Series 7, 24, 63 and SIE licensed professional.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
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2
NY
01/03/2020 - Present
Piper Sandler & Co. (NEW YORK NY)
NY
12/17/1988 - 01/03/2020
SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)
NA
10/03/1988 - 01/01/1989
UNDERHILL ASSOCIATES, INCORPORATED
NA
08/11/1986 - 08/25/1988
BEAR, STEARNS & CO. INC.
NA
04/07/1986 - 05/27/1986
PAINEWEBBER INCORPORATED
NA
05/07/1982 - 09/23/1985
SHEARSON LEHMAN/AMERICAN EXPRESS INC.
NA
05/11/1982 - 06/27/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
NA
05/24/1979 - 05/07/1982
L. F. ROTHSCHILD, UNTERBERG, TOWBIN
BC
Issued 07/11/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1979
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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