CD
Charles R. Dunn
CETERA INVESTMENT ADVISERS LLC
TUCSON, AZ
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CRD#: 2130194
CD
Professional summary
Charles Richard Dunn is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tucson, Arizona and CETERA ADVISORS LLC located in Tucson, Arizona.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Charles has worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 31 and Series 7 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.
1. NAME OF OTHER BUSINESS: ORDER OF MALTA WESTERN ASSOCIATION, USA; INVESTMENT RELATED: NO; ADDRESS: 5510 N CAMINO REAL, TUCSON, AZ, 85718; NATURE OF BUSINESS: NON-PROFIT ORGANIZATION; START DATE: 5/2009; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: MEMBER OF CATHOLIC CHARITY - DEFEND THE FAITH & TAKE CARE OF THE SICK & POOR; 2. OFF SITE SOLAR LLC;PARTNER;REAL ESTATE (RENTAL PROPERTY/PASSIVE INVESTMENT) ;4 HOURS PER MONTH; 01/10/2014; 3. CHARLES R DUNN INVESTMENT ADVISORS; DIRECT OWNER; DBA; START DATE 11/11/2010; 0 HOURS PER MONTH; 4. KINO BORDER INITIATIVE; BOARD OF DIRECTORS; NON-PROFIT ORGANIZATION; START DATE 08/01/2022; 4 HOURS PER MONTH; 5. NAME OF OTHER BUSINESS: ST. FRANCIS SHELTER; INVESTMENT RELATED: NO; ADDRESS: 601 E FT LOWELL, TUCSON, AZ 85705; NATURE OF BUSINESS: NONPROFIT; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: EXECUTIVE DIRECTOR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: STRATEGIC PLANNING & OVERSEE FUNDRAISING OPPORTUNITIES; 6. NAME OF OTHER BUSINESS: SACRED HEART CHURCH; INVESTMENT RELATED: NO; ADDRESS: : 601 E FT LOWELL, TUCSON, AZ 85705; NATURE OF BUSINESS: NONPROFIT START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: FINANCE CHAIR; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: OVERSEE FINANCIAL STATEMENTS & RUDIMENTARY FINANCIAL OVERVIEW OF BUDGETS; 7. NAME OF OTHER BUSINESS: MATHIS FOR STATE HOUSE; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: VOLUNTEERING; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: FINANCE CHAIR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: OVERSEEING FUNDRAISING OPPORTUNITIES; 8. NAME OF OTHER BUSINESS: TUCSON HOPE FACTORY; INVESTMENT RELATED: NO; ADDRESS: 5510 N CAMINO REAL TUCSON, AZ 85718; NATURE OF BUSINESS: NON PROFIT HOMELESS HOUSING; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: EXECUTIVE DIRECTOR; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: FUND RAISING, MARKETING, SPOKESMAN, BOARD CHAIRMAN;
CRS (Client Relationship Summary) - RIA
Click below to view Charles Richard Dunn'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
TUCSON, AZ
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
TUCSON, AZ
Past
January 2, 2014 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
TUCSON, AZ
Past
December 6, 2010 - March 17, 2014
SOUTHWEST INVESTMENT ADVISORS, INC.
RIA
CRD#: 117052
TUCSON, AZ
Past
November 15, 2010 - April 7, 2011
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
TUCSON, AZ
Past
November 10, 2010 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
TUCSON, AZ
Past
August 9, 2006 - November 18, 2010
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
TUCSON, AZ
Past
May 26, 2000 - November 18, 2010
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
TUCSON, AZ
Past
May 18, 1992 - May 31, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 23, 1992 - April 9, 1992
AMERICAN FRONTEER FINANCIAL CORPORATION
BD
CRD#: 1398
DENVER, CO
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
IAR
Arizona(11/12/2020)
RR
Arizona(9/8/2022)
RR
Arkansas(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Florida(4/1/2025)
RR
Illinois(9/8/2022)
RR
New Mexico(9/8/2022)
RR
Texas(9/8/2022)
IAR
Texas(11/1/2022)
RR
Utah(9/8/2022)
RR
Washington(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
