James Ignatius Dunn

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2014-04-04

MD RA
APPROVED

Since 2014-04-04

Branch Locations

2661 Riva Rd Ste 1020, Annapolis, MD 21401 • United States

2661 Riva Rd Ste 1020 [Dq-Rbo], Annapolis, MD 21401 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Annapolis	MD	03/2014	11/2016
Wells Fargo Clearing Services, Llc	Annapolis	MD	11/2016	Present

03/2014 → 11/2016

Wells Fargo Advisors Llc

Annapolis, MD
11/2016 → Present

Wells Fargo Clearing Services, Llc

Annapolis, MD

Previous Registrations

2005-10-07 → 2014-03-21

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Baltimore, MD

Baltimore, MD

Baltimore, MD
1999-04-20 → 2005-10-11

Morgan Stanley Dw Inc.

Baltimore, MD

Other Businesses

RENTAL PROPERTY, INV RELATED, ANNAPOLIS, MD, 100% OWNERSHIP, START 5/20/2018, ZERO HOURS PER MONTH, ZERO DURING TRADING, RENT OUT PRIMARY RESIDENCE FOR A WEEK.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-11-11
S63	Uniform Securities Agent State Law Examination	1994-11-04

S65 Uniform Investment Adviser Law Examination

1994-11-11
S63 Uniform Securities Agent State Law Examination

1994-11-04

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews