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FRANCIS JAMES DUNN
CRD#: 4037837
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 222 Mt Airy Road
Suite 209
Basking Ridge, NJ 07920
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 222 Mt. Airy Rd.
Suite 209
Basking Ridge, NJ 07920
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - 2019 (6 years)2 FIRMS2019 - Present (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2006 (6 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2000 - 2006 (6 years)
Disclosure(s)
View By:
7/21/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 5/31/2019

B
New Jersey 5/31/2019

B
California 5/31/2019

IA
New Jersey 6/5/2019

B
Colorado 5/31/2019

B
New York 5/31/2019

B
Connecticut 6/17/2019

B
North Carolina 5/31/2019

B
Florida 5/31/2019

B
Pennsylvania 5/31/2019

B
Illinois 5/5/2022

B
South Carolina 5/31/2019

B
Maine 1/20/2022

B
Tennessee 5/21/2024

B
Massachusetts 5/31/2019

IA
Texas 5/30/2019

B
Minnesota 5/31/2019

B
Texas 7/11/2019

B
Missouri 11/4/2024

B
Virginia 6/17/2021

B
Nevada 1/3/2022

B
Washington 7/13/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
222 Mt Airy Road Suite 209, Basking Ridge, NJ 07920
Registered with this firm since 5/30/2019

B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
222 Mt. Airy Rd. Suite 209, Basking Ridge, NJ 07920
Registered with this firm since 5/31/2019

Previous Registration(s)
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IA
10/03/2012 - 05/31/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SUMMIT, NJ
B
10/03/2012 - 05/31/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SUMMIT, NJ
IA
06/01/2009 - 10/24/2012 MORGAN STANLEY (CRD#:149777) SHORT HILLS, NJ
B
06/01/2009 - 10/24/2012 MORGAN STANLEY (CRD#:149777) SHORT HILLS, NJ
IA
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SHORT HILLS, NJ
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SHORT HILLS, NJ
IA
07/07/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) SHORT HILLS, NJ
B
07/07/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) SHORT HILLS, NJ
IA
07/27/2000 - 07/11/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) FLORHAM PARK, NJ
B
11/08/1999 - 07/11/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FLORHAM PARK, NJ
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B
Broker
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Investment Adviser
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.