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Anne T. Dunne

CETERA INVESTMENT ADVISERS LLC
SCARBOROUGH, ME
Some features on this profile are disabled
CRD#: 1015144
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Professional summary

Anne Theresa Dunne is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scarborough, Maine and CETERA INVESTMENT SERVICES LLC located in Scarborough, Maine.

Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Anne has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 8 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.)PRESIDENT/OWNER OF ATD ASSOCIATES LLC, SMALL CONSULTING ASSIGNMENT FOCUSED ON B/D PRCESSES AND BUSINESS SECURITY QUESTIONS, UP TO 10 HRS/WEEK, $5-10K ANNUAL COMPENSATION. 2.) EXECUTOR OF MOTHER'S ESTATE, HOLDS HEALTH PROXY AND POWER OF ATTORNEY. MOTHER IS PV CLIENT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anne Theresa Dunne's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
SCARBOROUGH, ME
Current

June 6, 2001 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 10 Woodgate Rd, Scarborough, ME 04074
BD
CRD#: 15340
Scarborough, ME
Past

January 1, 2005 - November 26, 2008

BANCNORTH INVESTMENT GROUP, INC.

BD
CRD#: 31299
PORTLAND, ME
Past

July 18, 2002 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
GILFORD, NH
Past

February 20, 1998 - June 6, 2001

COMPULIFE INVESTOR SERVICES, INC.

BD
CRD#: 21543
ST. CLOUD, MN
Past

December 19, 1996 - February 13, 1998

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

February 29, 1996 - January 10, 1997

FIRST PROVIDENCE FINANCIAL GROUP, LLC

BD
CRD#: 39469
Past

February 28, 1996 - January 10, 1997

FIRST PROVIDENCE FINANCIAL GROUP, LLC

BD
CRD#: 39469
PORT WASHINGTON, NY
Past

April 26, 1995 - March 21, 1996

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

December 1, 1994 - April 6, 1995

A. T. BROD & CO. INC.

BD
CRD#: 1319
CLEVELAND, OH
Past

November 15, 1981 - October 31, 1994

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(11/26/2008)
RR
Georgia
(10/1/2021)
RR
Maine
(11/25/2008)
IAR
Maine
(1/21/2014)
RR
Massachusetts
(2/9/2012)
RR
New Hampshire
(10/10/2018)
RR
New York
(11/25/2008)
RR
Utah
(11/2/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/30/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/22/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/10/1981
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/28/1995
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 2/28/1995
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 26
Date: 8/18/1983
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Scarborough, ME

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