Individual Firm
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JAMES CLARK DUNN
JIM DUNN
CRD#: 4647547
IA
B
LINCOLN INVESTMENTCRD#: 519 1214 STATE ROUTE 93
SUITE 1
BERWICK, PA 18603
SUITE 1
BERWICK, PA 18603
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9/19/2013
Customer Dispute
Settled
State Registrations
B
California 12/11/2023
B
Ohio 1/3/2019
B
Delaware 2/3/2019
B
Pennsylvania 1/3/2017
B
Florida 1/4/2019
IA
Pennsylvania 5/24/2018
B
Indiana 1/8/2019
B
South Carolina 1/3/2017
B
Maryland 1/3/2017
B
Vermont 6/15/2020
B
New Jersey 1/3/2017
B
Virginia 1/4/2019
B
New York 1/3/2017
B
West Virginia 8/11/2021
B
North Carolina 1/5/2019
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 5/24/2018
B
Registered with this firm since 1/3/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/05/2016 - 10/01/2019 | Berwick, PA | |
B | 01/29/2004 - 01/03/2017 | BERWICK, PA | |
B | 04/14/2003 - 01/29/2004 | BOSTON, MA |
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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.