James W. Dunn
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.
James William Dunn, who also goes by James W Dunn, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 5 firms and has passed the Series 65, Series 63, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2019 - June 25, 2024
RUBINBROWN ADVISORS LLC
April 23, 2001 - December 31, 2008
J.W. DUNN ASSET MANAGEMENT, LLC
April 23, 2001 - April 27, 2015
J.W. DUNN ASSET MANAGEMENT, LLC
April 5, 1995 - July 26, 1996
OSAIC WEALTH, INC.
March 11, 1985 - January 23, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
September 20, 1984 - February 15, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
RUBINBROWN ADVISORS LLC
CRD#: 116909 / SEC#: 801-62021
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RUBINBROWN ADVISORS LLC
CRD#: 116909 / SEC#: 801-62021
Contact information
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,918 |
| AUM (Assets Under Management) | $ 3,268,176,113 |
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.
