Articles Tagged with Richard Dunagan

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Richard Dunagan

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 30, 2017 indicate that Texas-based Ameriprise Financial Services broker/adviser Richard Dunagan is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dunagan (CRD# 2255644).

Richard Dunagan has spent 25 years in the securities industry and has been registered with Ameriprise Financial Services in Austin, Texas since September 2016. Previous registrations include Wells Fargo Advisors in Austin, Texas (2003-2016); Prudential Securities Incorporated in New York, New York (2001-2003); Salomon Smith Barney in New York, New York (1993-2001); and Lehman Brothers in New York, New York (1992-1993). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 10, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 28, 1992; and Series 7 (General Securities Representative Examination), which he obtained on July 16, 1992. He is a registered broker and investment adviser with 13 US states and territories: California, Georgia, Hawaii, Iowa, Nebraska, New York, Oklahoma, Oregon, South Carolina, Texas, Utah, Virginia and Washington.

According to his BrokerCheck report, he has received one pending customer complaint and one customer complaint that was withdrawn.