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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Michael Dunning is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Sean Michael Dunning has been in the industry since 2001. Sean Michael Dunning holds Series 7, Series 6, and Series 63 licenses. Sean Michael Dunning has experience with firms such as Merrill Lynch, Pierce, Fenner & Smith Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, and VANGUARD MARKETING CORPORATION. Sean Michael Dunning is registered to provide financial advice in North Carolina. Sean Michael Dunning's current office location is in New York, NY.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
10/13/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NC
10/23/2009 - 08/15/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
10/02/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
11/21/2005 - 08/28/2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
PA
10/22/1999 - 11/01/2005
VANGUARD MARKETING CORPORATION (MALVERN PA)
BC
Issued 11/11/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2010
Series 7 - General Securities Representative Examination
BC
Issued 10/21/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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