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Detailed Report
DAVID MICHAEL DUNNING III
DAVID Michael DUNNING, Mick Dunning
CRD#: 6579665
IA
Investment Adviser
B
Broker
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 200 Lake Shore Drive West
Dunkirk, NY 14048
LPL FINANCIAL LLCCRD#: 6413 DUNKIRK, NY
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - Present (7 years)
License(s)

State Registrations

B
California 6/14/2018
IA
New York 6/4/2021
B
Florida 1/4/2018
B
North Carolina 1/10/2025
B
Georgia 5/12/2022
B
Pennsylvania 4/22/2021
B
Illinois 1/4/2018
B
South Carolina 4/22/2021
B
Maryland 5/3/2021
B
Texas 4/22/2021
B
Michigan 4/22/2021
IA
Texas 8/2/2024
B
Nevada 8/21/2020
B
Virginia 1/21/2025
B
New York 10/2/2017
B
Washington 1/16/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
200 Lake Shore Drive West, Dunkirk, NY 14048
Registered with this firm since 10/11/2017
B
LPL FINANCIAL LLC (CRD#:6413)
DUNKIRK, NY
Registered with this firm since 10/2/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/16/2016 - 07/06/2017 LPL FINANCIAL LLC (CRD#:6413) JAMESTOWN, NY
B
 01/20/2016 - 07/06/2017 LPL FINANCIAL LLC (CRD#:6413) JAMESTOWN, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.