Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theodore? Claim Your ProfileTheodore Dunham is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., based in GILBERT, Arizona. Theodore has been in the industry since 1985 and holds a Series 7, Series 63 and Series 65 licenses. Theodore has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since January 2007. Prior to that, Theodore was registered with CITIGROUP GLOBAL MARKETS INC., A. G. EDWARDS & SONS, INC., PRUDENTIAL-BACHE SECURITIES INC., WASHINGTON NATIONAL EQUITY COMPANY, H. J. TESSIER & CO., INC. and AMERICAN NETWORK SECURITIES CORP. Theodore specializes in providing services for individuals, corporations or other businesses, insurance companies, charitable organizations, pension and profit-sharing plans, state or municipal government entities.
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
AZ
01/22/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GILBERT AZ)
AZ
04/28/1997 - 01/25/2007
CITIGROUP GLOBAL MARKETS INC. (TEMPE AZ)
MO
01/28/1991 - 05/06/1997
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
02/12/1987 - 01/30/1991
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NA
09/26/1986 - 02/26/1987
WASHINGTON NATIONAL EQUITY COMPANY
NA
01/18/1986 - 09/08/1986
H. J. TESSIER & CO., INC.
NA
09/25/1985 - 01/21/1986
AMERICAN NETWORK SECURITIES CORP.
IA
Issued 04/19/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/08/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1985
Series 7 - General Securities 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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