Individual Firm
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MARK JOHN DUNN
CRD#: 4279005
IA
B
LINCOLN INVESTMENTCRD#: 519 8345 W. Sunset Rd.
Ste. 370
Las Vegas, NV 89113
Ste. 370
Las Vegas, NV 89113
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8/16/2012
Customer Dispute
Denied
8/1/2011
Customer Dispute
Denied
3/31/2006
Customer Dispute
Settled
2/14/2006
Customer Dispute
Denied
10/3/2005
Customer Dispute
Denied
7/19/2005
Employment Separation After Allegations
3/31/2005
Customer Dispute
Denied
State Registrations
B
Alabama 5/23/2024
IA
Nevada 11/2/2023
B
Arizona 10/30/2023
B
New Mexico 9/10/2024
B
California 10/30/2023
B
Tennessee 10/30/2023
B
Colorado 10/30/2023
B
Utah 10/30/2023
B
Florida 10/30/2023
B
Virginia 10/30/2023
IA
Illinois 11/3/2023
B
Washington 10/30/2023
B
Nevada 10/30/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 11/2/2023
IA
Registered with this firm since 11/2/2023
B
Registered with this firm since 10/30/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/08/2010 - 11/15/2023 | LAS VEGAS, NV | |
B | 07/19/2010 - 11/15/2023 | LAS VEGAS, NV | |
IA | 11/15/2000 - 07/20/2005 | LAS VEGAS, NV | |
B | 11/01/2000 - 07/20/2005 | MINNEAPOLIS, MN | |
B | 11/01/2000 - 07/20/2005 | MINNEAPOLIS, MN |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.