JD
Jeffrey A. Dunham
DUNHAM
San Diego, CA 92122
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CRD#: 1149167
JD
Professional summary
Jeffrey Alan Dunham is a registered financial advisor currently at DUNHAM located in San Diego, California.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Jeffrey has worked at 2 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7, Series 4, Series 24 and Series 53 exams.
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.
THE FOLLOWING ARE CONSIDERED INVESTMENT-RELATED ACTIVITIES SINCE THE INDIVIDUAL IS ASSOCIATED WITH (I) AN INVESTMENT COMPANY AND (II) ONE OR MORE OF THE ENTITIES THAT PROVIDE INVESTMENT ADVICE RELATED TO SECURITIES AND/OR REAL ESTATE. PRESIDENT, TRUSTEE AND CHAIRMAN OF THE BOARD, DUNHAM FUNDS (THE "FUNDS") FROM JANUARY 2008 TO PRESENT. THE TRUSTEES ARE RESPONSIBLE FOR OVERSEEING THE SERVICES PROVIDED BY THE INVESTMENT ADVISER AND THE GENERAL OPERATIONS OF THE FUNDS. THESE RESPONSIBILITIES INCLUDE APPROVING THE ARRANGEMENTS WITH COMPANIES THAT PROVIDE NECESSARY SERVICES TO THE FUNDS, ENSURING THE FUNDS' COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND THAT DIVIDENDS AND CAPITAL GAINS ARE DISTRIBUTED TO SHAREHOLDERS. THE BOARD MEETS ON A QUARTERLY BASIS AND IN THE INTERIM IF NEEDED. CHIEF EXECUTIVE OFFICER, DUNHAM & ASSOCIATES HOLDINGS, INC. ("DAHI") FROM 1999 TO PRESENT. DAHI WAS FORMED TO BE A HOLDING COMPANY FOR VARIOUS EXISTING DUNHAM ENTITIES. DAHI MAY ALSO ACT AS AN AGENT IN ARRANGING LOANS FROM INDIVIDUALS TO THIRD PARTIES. MR. DUNHAM SPENDS APPROXIMATELY 10% OF HIS TIME MANAGING THE AFFAIRS OF DAHI. CHIEF EXECUTIVE OFFICER, DUNHAM & ASSOCIATES SECURITIES, INC. ("DASI") FROM 1986 TO PRESENT. DASI MAY PROVIDE LIMITED BUSINESS CONSULTING SERVICES TO CLIENTS OF DAIC IF CLIENTS REQUEST SUCH SERVICES. DASI MAY PROVIDE DIFFERENT SERVICES TO OTHER ENTITIES ON A SELECTIVE BASIS. MR. DUNHAM SPENDS APPROXIMATELY 10% OF HIS TIME PROVIDING THESE SERVICES. CHIEF EXECUTIVE OFFICER, ASSET MANAGERS, INC. ("AMI") FROM 1985 TO PRESENT AND OWNER FROM 01/02/2024 TO PRESENT. AMI IS THE GENERAL AND LIMITED PARTNER OF VARIOUS LIMITED PARTNERSHIPS AND LIMITED LIABILITY COMPANIES. MR. DUNHAM'S INVOLVEMENT IN MANAGING THE AFFAIRS OF AMI VARIES BASED ON THE ACTIVITY IN SUCH ENTITIES. MR. DUNHAM SPENDS LESS THAN 10 HRS/ MONTH IN MANAGING THE AFFAIRS OF AMI. AMI IS LOCATED IN RENO, NEVADA. CHAIRMAN AND CHIEF EXECUTIVE OFFICER, DUNHAM TRUST COMPANY ("DTC") FROM 1999 TO PRESENT. DTC OFFERS TRUSTEE, INVESTMENT MANAGEMENT AND CUSTODIAL SERVICES FOR PERSONAL TRUST ACCOUNTS, EMPLOYEE BENEFIT ACCOUNTS, CUSTODY AND THIRD PARTY AGENCY ACCOUNTS. MR. DUNHAM SPENDS APPROXIMATELY 10% OF HIS TIME MANAGING THE AFFAIRS OF DTC. DTC IS LOCATED AT 200 S VIRGINIA ST #400, RENO, NEVADA 89501. BOARD MEMBER, DUNHAM FOUNDATION FROM 2005 TO PRESENT. THE DUNHAM FOUNDATION IS A CHARITY THAT PROVIDES FUNDING TO A VARIETY OF CHILDREN'S CAUSES. MR. DUNHAM DOES NOT RECEIVE ANY COMPENSATION FOR HIS SERVICE AND SPENDS APPROXIMATELY TWO HOURS A YEAR RELATED TO THE CHARITY. IT IS LOCATED AT 1645 VILLAGE CENTER CIRCLE #170, LAS VEGAS, NV 89134. OWNER, DAVE STUBBS REAL ESTATE FROM JUNE 2016 TO PRESENT. DAVE STUBBS REAL ESTATE SERVES SAN DIEGO NORTH COASTAL IN REAL ESTATE SALES, LEASING AND PROPERTY MANAGEMENT. THE BUSINESS ADDRESS IS 614 S. SIERRA AVENUE, SOLANA BEACH, CA 92075. MR. DUNHAM PROVIDES MENTORING AND COACHING OF EXISTING ONSITE MANAGEMENT AND RECEIVES $2,500 to $7,500 PER MONTH. HE SPENDS APPROXIMATELY 5 TO 8 HOURS PER MONTH ON WEEKENDS AND EVENINGS ON THIS ACTIVITY. BOARD MEMBER, XCEPTIONAL. MR. DUNHAM OWNS APPROXIMATELY 2% OF THE COMPANY (SHARES RECEIVED), RECEIVES NO COMPENSATION AND WORKS LESS THAN 5 HOURS PER QUARTER. BOARD MEMBER, SWYFTFIN, INC. RECEIVES NO COMPENSATION AND WORKS LESS THAN 2 HOURS PER QUARTER.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Alan Dunham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Alan Dunham's 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®
NoneExperience
Current
July 8, 1997 - Present
DUNHAM
Office #1: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #2: 200 S Virginia Street, Suite 400, Reno, NV 89501RIA
BD
CRD#: 13162
San Diego, CA
Current
July 25, 1985 - Present
DUNHAM
Office #1: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #2: 200 S Virginia Street, Suite 400, Reno, NV 89501RIA
BD
CRD#: 13162
San Diego, CA
Past
June 30, 1983 - July 29, 1985
MCKEWON & TIMMINS
BD
CRD#: 8647
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".
DU
DUNHAM
DUNHAM | LAGUNA FINANCIAL SERVICES, INC. | DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, INC. | DUNHAM & GREER, INC. INVESTMENT COUNSEL | DUNHAM & GREER INVESTMENT COUNSEL | DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
CRD#: 13162 / SEC#: 801-25803, 8-28527
RIA
Registered Investment Advisory firm - SEC (11/29/1985 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
Arizona(11/12/2001)
RR
Arkansas(12/12/1994)
RR
California(7/25/1985)
IAR
California(7/8/1997)
RR
Colorado(12/6/1985)
RR
Connecticut(12/10/2007)
RR
Delaware(1/2/2008)
RR
District of Columbia(12/14/2007)
RR
Florida(10/7/1994)
RR
Georgia(4/1/1996)
RR
Illinois(1/3/1995)
RR
Indiana(9/13/2002)
RR
Iowa(9/3/2002)
RR
Kansas(1/31/2005)
RR
Maine(6/18/1996)
RR
Maryland(10/28/2002)
RR
Massachusetts(8/20/1999)
RR
Michigan(5/18/1998)
RR
Montana(6/20/2005)
RR
Nevada(11/2/1994)
RR
New Jersey(11/12/2001)
RR
New Mexico(10/7/1996)
RR
New York(8/9/2000)
RR
North Carolina(4/18/2001)
RR
Ohio(3/15/2001)
RR
Oregon(8/15/1996)
RR
Pennsylvania(5/16/1996)
RR
Puerto Rico(7/10/2002)
RR
Rhode Island(12/11/2007)
RR
Tennessee(4/19/2001)
RR
Texas(1/24/1997)
RR
Utah(8/7/1996)
RR
Virginia(11/3/2000)
RR
Washington(11/12/2001)
RR
West Virginia(12/6/2007)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DU
DUNHAM
DUNHAM | LAGUNA FINANCIAL SERVICES, INC. | DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, INC. | DUNHAM & GREER, INC. INVESTMENT COUNSEL | DUNHAM & GREER INVESTMENT COUNSEL | DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
CRD#: 13162 / SEC#: 801-25803, 8-28527
RIA
Registered Investment Advisory firm - SEC (11/29/1985 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
6256 Greenwich Drive Suite 550, San Diego, CA 92122
Mailing Address
P.o. Box 910309, San Diego, CA 92191
Phone number
(858) 964-0500
Established
California since 05/26/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
39
SEC notice filing (10 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DUNHAM & ASSOCIATES HOLDINGS, INC. | SHAREHOLDER | |
| BOISCH, HELMUT | CHIEF OPERATIONS OFFICER | 5371920 |
| CAPIZZI, SALVATORE MICHAEL | CHIEF SALES AND MARKETING OFFICER | 1037757 |
| DUNHAM, JEFFREY ALAN | CHIEF EXECUTIVE OFFICER | 1149167 |
| DYKMANS, RYAN JOHN | PRESIDENT AND CHIEF INVESTMENT OFFICER | 4847419 |
| GARDYNE, JENNIFER KIM | CHIEF FINANCIAL OFFICER | 8188759 |
| PALERMO, VIKTORIA IRENA | CHIEF COMPLIANCE OFFICER | 4769903 |
Regulatory assets under management
| Total Number of Accounts | 12,032 |
| AUM (Assets Under Management) | $ 4,737,607,372 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2025 | ||
| 10/23/2024 | ||
| 07/26/2023 |
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.
