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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2023-04-04
FL RA APPROVED 2023-01-27
TX RA APPROVED_RES 2011-10-05
MD RA APPROVED 2011-09-29
  • DE RA
    APPROVED
    Since 2023-04-04
  • FL RA
    APPROVED
    Since 2023-01-27
  • TX RA
    APPROVED_RES
    Since 2011-10-05
  • MD RA
    APPROVED
    Since 2011-09-29

Branch Locations

7501 Wisconsin Ave, Bethesda, MD 20814 • United States

601 E Atlantic Ave, Delray Beach, FL 33483 • United States

Delray Beach, FL • 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 Bethesda MD 09/2011 Present
Bank Of America, N.A. Bethesda MD 03/2015 Present
Previous Registrations
  • 2009-02-03 → 2011-09-29
    Convergent Wealth Advisors, Llc
    Potomac, MD
  • 2000-10-02 → 2008-09-09
    Washington, DC
    Washington, DC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-13
S63 Uniform Securities Agent State Law Examination 1999-10-07
  • S65 Uniform Investment Adviser Law Examination
    2000-07-13
  • S63 Uniform Securities Agent State Law Examination
    1999-10-07
Other Names
  • Peter Finley Dunne

View on SEC IAPD

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