TD
Timothy J. Dunne
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CRD#: 1040264
TD
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy Joseph Dunne was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1982. Timothy had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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) PIMA FEDERAL CREDIT UNION; ADDRESS: 6840 N. ORACLE ROAD, TUSCON, AZ 85704; NOT INVESTMENT REALTED; BUSINESS DESCRIPTION: CREDIT UNION; CAPACITY: BOARD OF DIRECTORS; START DATE: 1/1/1987; DUTIES: OVERSEE CREDIT UNION POLICIES, LONG AND SHORT TERM GOALS, HIRING OF CEO, EXPANSION; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0. (2) TIM DUNNE - AUTHOR; ADDRESS: EMPLOYEE'S RESIDENCE; BUSINESS DESCRIPTION: PUBLISH BOOK; NOT INVESTMENT RELATED; START DATE: 09/08/2010; CAPACITY: OWNER-ACTIVE; DUTIES: NONE; HOURS DEVOTED PER WEEK: 2; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0. (3) DENTAL STICKS, INC.; ADDRESS: 4729 E. SUNRISE DR. #406 TUCSON, AZ 8718; BUSINESS DESCRIPTION: MANUFACTURE, PACKAGE, MARKET, LICENSE, DISTRIBUTE, PROPRIETARY BRANDED DENTAL STICKS, WOOD TOOTHPICKS INFUSED WITH VARIOUS INGREDIENTS; NOT INVESTMENT RELATED; START DATE: 10/17/2014; CAPACITY: OWNER-ACTIVE; DUTIES: ADVISER, ATTEND MEETINGS, PARTICIPATE IN PHONE CONFERENCES; HOURS DEVOTED PER WEEK: 4; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0. (4) JTARBOX.COM; ADDRESS: PERSONAL RESIDENCE (ONLINE); NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: WEBSITE FOR MY POETRY BOOK; CAPACITY: SOLE PROPRIETOR; START DATE: 10/1/2018; DUTIES: OWNER OF WEBSITE; HOURS DEVOTED PER MONTH: APPROX 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (5) NAME OF ENTITY: Canyonwood Estates HOA ADDRESS: P.O. Box 32413 Tucson, AZ. 85751 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Home Owners Association CAPACITY: Board of Directors * START DATE: 10/01/19 DUTIES: Attend board meetings HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (6) Name: Stanley M. Reinhaus Family foundation Address: 10711 Placita de Pascua Tucson, AZ. 85730-5511 Business Description: Foundation Business is not investment related Projected Start Date: 11/16/20 Capacity: Board of Directors * Duties Performed: Assist reviewing Scholarship applications and in the development of new schools to participate. Devoted to this OBA per Month: 2hrs/month Hours Devoted to this OBA during business hours: 0
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 8, 2015 - June 6, 2022
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
TUCSON, AZ
Past
May 8, 2015 - June 6, 2022
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
TUCSON, AZ
Past
February 26, 2008 - May 19, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
TUCSON, AZ
Past
August 28, 1998 - May 19, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
TUCSON, AZ
Past
June 4, 1982 - September 14, 1998
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
