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Michael Thomas Dunn

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Walnut Creek, CA

Alamo, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 1997-07-08
TX RA APPROVED_RES 1995-03-16
  • CA RA
    APPROVED
    Since 1997-07-08
  • TX RA
    APPROVED_RES
    Since 1995-03-16

Branch Locations

1331 N California Blvd, Walnut Creek, CA 94596 • United States

Alamo, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oakland CA 12/1991 Present
Bank Of America, N.A. Walnut Creek CA 09/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-18
S63 Uniform Securities Agent State Law Examination 1992-03-23
  • S65 Uniform Investment Adviser Law Examination
    1996-06-18
  • S63 Uniform Securities Agent State Law Examination
    1992-03-23

View on SEC IAPD

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Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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