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Detailed Report
WILLIAM PENNINGTON DUNN IV
BILL DUNN IV, WILLIAM PENNINGTON DUNN, Wimmiam Pennington Dunn
CRD#: 1675358
IA
Investment Adviser
B
Broker
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 Fort Lauderdale, FL
LPL FINANCIAL LLCCRD#: 6413 FORT LAUDERDALE, FL
Registration History
199019952000200520102015202020252 FIRMS2013 - 2015 (2 years)2 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - 2020 (2 years)2 FIRMS2020 - Present (4 years)BPRIMEVEST FINANCIAL SERVICES, INC. (CRD# 15340)2003 - 2011 (7 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2000 - 2003 (2 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)2000 - 2000 (<1 year)BSUMMIT FINANCIAL SERVICES GROU... (CRD# 7246)1998 - 2000 (1 year)BFISERV INVESTOR SERVICES, INC. (CRD# 34637)1998 - 1998 (<1 year)BAUBREY G. LANSTON & CO., INC. (CRD# 19695)1997 - 1998 (<1 year)BGFI GROUP, INC. (CRD# 19982)1994 - 1997 (3 years)BREICH & CO., INC. (CRD# 19611)1993 - 1994 (<1 year)BPREBON DERIVATIVE PRODUCTS INC. (CRD# 29551)1993 - 1993 (<1 year)BPREBON SECURITIES (USA) INC. (CRD# 20431)1992 - 1993 (1 year)BGARVIN GUYBUTLER CORPORATION (CRD# 19738)1990 - 1992 (1 year)BCANTOR FITZGERALD SECURITIES CORP. (CRD# 19660)1988 - 1990 (1 year)BRMJ SECURITIES CORP. (CRD# 19710)1987 - 1988 (1 year)IAPRIMEVEST FINANCIAL SERVICES, INC. (CRD# 15340)2011 - 2011 (<1 year)
Disclosure(s)
View By:
11/4/2004
Customer Dispute
Denied
License(s)

State Registrations

B
Florida 6/1/2020
IA
Florida 6/19/2020

SRO Registrations

B
 FINRA

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
Fort Lauderdale, FL
Registered with this firm since 6/19/2020
B
LPL FINANCIAL LLC (CRD#:6413)
FORT LAUDERDALE, FL
Registered with this firm since 6/1/2020
Previous Registration(s)
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IA
 12/01/2017 - 06/02/2020 NEXT FINANCIAL GROUP, INC. (CRD#:46214) FORT LAUDERDALE, FL
B
 11/30/2017 - 06/02/2020 NEXT FINANCIAL GROUP, INC. (CRD#:46214) FORT LAUDERDALE, FL
IA
 04/21/2016 - 12/01/2017 INVEST FINANCIAL CORPORATION (CRD#:12984) FT LAUDERDALE, FL
B
 04/21/2016 - 12/01/2017 INVEST FINANCIAL CORPORATION (CRD#:12984) FT LAUDERDALE, FL
IA
 04/16/2013 - 10/15/2015 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) FORT LAUDERDALE, FL
B
 04/11/2013 - 09/09/2015 FIRST ALLIED SECURITIES, INC. (CRD#:32444) LAUDERDALE, FL
IA
 03/17/2011 - 04/20/2011 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) BLOOMFIELD, NJ
B
 05/19/2003 - 04/20/2011 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) BLOOMFIELD, NJ
B
 10/01/2000 - 06/05/2003 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
 03/10/2000 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
 10/21/1998 - 03/01/2000 SUMMIT FINANCIAL SERVICES GROUP, INC. (CRD#:7246) BETHLEHEM, PA
B
 07/15/1998 - 10/21/1998 FISERV INVESTOR SERVICES, INC. (CRD#:34637) HOUSTON, TX
B
 07/03/1997 - 06/03/1998 AUBREY G. LANSTON & CO., INC. (CRD#:19695) NEW YORK, NY
B
 02/02/1994 - 05/05/1997 GFI GROUP, INC. (CRD#:19982) NEW YORK, NY
B
 11/01/1993 - 01/13/1994 REICH & CO., INC. (CRD#:19611)
B
 07/13/1993 - 10/19/1993 PREBON DERIVATIVE PRODUCTS INC. (CRD#:29551) JERSEY CITY, NJ
B
 04/28/1992 - 08/24/1993 PREBON SECURITIES (USA) INC. (CRD#:20431) JERSEY CITY, NJ
B
 10/31/1990 - 04/22/1992 GARVIN GUYBUTLER CORPORATION (CRD#:19738) JERSEY CITY, NJ
B
 07/28/1988 - 04/09/1990 CANTOR FITZGERALD SECURITIES CORP. (CRD#:19660) NEW YORK, NY
B
 07/25/1987 - 07/11/1988 RMJ SECURITIES CORP. (CRD#:19710)
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.