Francis Dunn is a CFP-designated registered investment advisor, based in Basking Ridge, NJ, with 26 years of industry experience. Francis is also registered as a broker, so some compensation may come from commissions on products sold.
Location
222 Mt Airy Road, Suite 209, Basking Ridge, NJ, 07920
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2008Settled
Other Business Activities
Francis provides periodic wrestling lessons, dedicating minimal time to this activity. He is also the head wrestling coach at Middlesex College, spending about 10-20% of his time in this role.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
May 2019 - Present · 7 yrs 5 mos
Raymond James Financial Services Advisors, INC
May 2019 - Present · 7 yrs 5 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2012 - May 2019 · 6 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2012 - May 2019 · 6 yrs 7 mos
Morgan StanleyBroker
June 2009 - October 2012 · 3 yrs 4 mos
Morgan Stanley
June 2009 - October 2012 · 3 yrs 4 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
July 2006 - April 2007 · 9 mos
Morgan Stanley Dw INC.Broker
July 2006 - April 2007 · 9 mos
Merrill Lynch Pierce Fenner & Smith INC.
July 2000 - July 2006 · 6 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1999 - July 2006 · 6 yrs 8 mos
State Registrations24 states
AZCACOCTDEFLILKYMAMEMNMONCNJNVNYPASCTNTXUTVAVTWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
More Advisors
- Tori Benjamin, CFPCw Advisors, LLC
- Pai-Su Kang, CFPCambridge Investment Research Advisors, INC.
- Giovanni Duran, CFP
- Assunta Mclane, CFPMariner
- Sara Scholl, CFPGwn Securities INC.
- Peter Carollo, CFPOsaic Wealth, INC.