Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Spencer Dunn is a financial advisor who has been in the industry since November 2011. Michael is currently registered with Charles Schwab & CO., Inc. as a registered representative. Michael is also registered with the state of Colorado as an investment advisor representative. Michael's previous experience includes a role at INTERACTIVE BROKERS LLC. Michael has passed several securities exams, including the Series 7, 63, 66, 3, 4, 9, 10, 24, and SIE exams.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral 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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
WA
11/27/2023 - Present
Charles Schwab & CO., Inc. (Seattle WA)
CT
05/18/2011 - 09/30/2015
INTERACTIVE BROKERS LLC (GREENWICH CT)
BOTH
Issued 12/21/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/23/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/11/2017
Series 4 - Registered Options Principal Examination
BC
Issued 11/03/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/28/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/05/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/2018
Series 57 - Securities Trader Exam
BC
Issued 06/07/2017
Series 3 - National Commodity Futures Examination
BC
Issued 05/16/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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