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Steve Dunstone
VP at LPL Financial
Professional Background
Steve Dunstone is a seasoned financial professional with a wealth of experience in trading compliance and investment services. Currently, he holds the position of Vice President of Trading Compliance at LPL Financial, where he is responsible for overseeing compliance practices related to trading activities. His extensive background in the financial sector has equipped him with a deep understanding of regulatory requirements, risk management, and operational excellence in trading environments.
Before joining LPL Financial, Steve demonstrated his expertise as the Vice President of Investment Services at WaMu/Chase Investments. In this role, he successfully managed investment operations and ensured regulatory compliance while enhancing service quality. Steve's tenure at Chase was marked by his commitment to fostering positive customer relationships and delivering exceptional investment solutions to clients.
Education and Achievements
Steve Dunstone earned his Bachelor of Arts degree in Business from California State University, Northridge. His educational background in business provided him with a solid foundation in financial principles, management strategies, and analytical skills necessary for success in the competitive financial industry.
Steve's dedication to professional development is reflected in his impressive array of licenses which include the Series 4, 7, 24, 53, 55, 63, 65, 79, and 99. These licenses signify his commitment to adhering to industry standards and regulations, proving his capability to operate across various aspects of securities trading and investment advising.
Throughout his career, Steve has built a reputation as a trusted advisor and leader within the field, utilizing his skills to guide teams and projects towards achieving compliance and operational success. His proactive approach to identifying potential trade pitfalls and regulatory challenges has earned him respect among his peers and positioned him as an expert in compliance.
Achievements
- Vice President of Trading Compliance: At LPL Financial, Steve has excelled in his role, developing compliance frameworks that not only align with regulatory requirements but also promote ethical trading practices among teams.
- Leadership at WaMu/Chase Investments: Steve played a pivotal role in enhancing the investment services offered by WaMu/Chase, contributing to the company’s reputation for excellence in investment advisory.
- Professional Licenses: Holding multiple securities licenses underscores his extensive knowledge and capability to navigate the complexities of the financial industry.
- Education Foundation: Graduating from California State University, Northridge provided Steve with a strong educational background, essential for his development in the fast-evolving financial sector.
In summary, Steve Dunstone's combination of formal education, extensive licensure, and professional experiences at leading financial institutions has equipped him to be a significant contributor to the field of trading compliance and investment services. His dedication to maintaining industry standards while providing top-notch advisory services marks him as an esteemed expert in the financial community.