Charles W. Dunn

SUTTER SECURITIES

Irvine, CA 92618

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CRD#: 2287891

Professional summary

Charles William Dunn, who also goes by Charles W Dunn, Charlie Dunn, is a registered financial professional currently at SUTTER SECURITIES INCORPORATED located in Irvine, California and SKA SECURITIES, INC. located in Fairview Park, Ohio.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1993. Charles has worked at 20 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles W Dunn | Charlie Dunn

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles William Dunn'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

September 19, 2017 - Present

SUTTER SECURITIES INCORPORATED

Office #1: 6 Venture, Suite 395 Suite 395, Irvine, CA 92618

CRD#: 30770

Irvine, CA

Current

January 4, 2022 - Present

SKA SECURITIES, INC.

Office #1: 22725 Fairview Center Drive Suite 100, Fairview Park, OH 44126

CRD#: 113852

Fairview Park, OH

Past

June 22, 2022 - July 1, 2022

ALTSOURCED SOLUTIONS, LLC

CRD#: 310915

LAKEWOOD RANCH, FL

Past

March 2, 2022 - June 16, 2022

STRONG CAPITAL MARKETS, LLC

CRD#: 314056

STAMFORD, CT

Past

October 17, 2020 - July 8, 2022

BRUCE A. LEFAVI SECURITIES, INC.

CRD#: 10684

SALT LAKE CITY, UT

Past

September 27, 2019 - October 19, 2020

MORRIS GROUP, INC.

CRD#: 13181

INDIANAPOLIS, IN

Past

November 14, 2018 - February 17, 2021

BOUSTEAD SECURITIES, LLC

CRD#: 141391

IRVINE, CA

Past

April 26, 2018 - March 1, 2022

FIRST PALLADIUM, LLC

CRD#: 289822

FORT WAYNE, IN

Past

March 20, 2018 - April 19, 2018

TAG WEALTH MANAGEMENT, LLC

CRD#: 1357

PHOENIX, AZ

Past

April 4, 2017 - September 20, 2017

SBC PARTNERS

CRD#: 284750

NEW YORK, NY

Past

March 14, 2016 - May 19, 2016

MERIDIAN CAPITAL LLC

CRD#: 172143

SEATTLE, WA

Past

October 15, 2014 - April 1, 2016

INVESTMENT VISA CONSULTANTS, LLC

CRD#: 169254

LAKE OSWEGO, OR

Past

September 2, 2014 - July 29, 2016

AVIOR CAPITAL, LLC

CRD#: 44732

SAN DIEGO, CA

Past

March 4, 2014 - February 23, 2015

ABG, LLC

CRD#: 167190

NEW YORK, NY

Past

December 17, 2013 - July 29, 2015

TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153

LAGUNA NIGUEL, CA

Past

November 4, 2013 - November 30, 2016

J.W. MILLEGAN, INC.

CRD#: 40116

MCMINNVILLE, OR

Past

July 2, 2009 - April 9, 2012

INTERNET SECURITIES

CRD#: 102800

OAKLAND, CA

Past

January 5, 2007 - July 2, 2007

PACIFIC ADVISORY GROUP OF AMERICA, LLC

CRD#: 116555

LOS ANGELES, CA

Past

January 1, 2005 - May 30, 2007

SUTTER SECURITIES INCORPORATED

CRD#: 30770

IRVINE, CA

Past

June 6, 2000 - May 19, 2004

SUTTER SECURITIES INCORPORATED

CRD#: 30770

IRVINE, CA

Past

June 23, 1999 - November 26, 1999

PARTHENON L.P.

CRD#: 40818

SAN FRANCISCO, CA

Past

May 10, 1993 - April 25, 1999

OFFROAD SECURITIES, INC.

CRD#: 30890

SAN FRANCISCO, CA

State Registrations and Notice Filings

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

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

California
(9/19/2017)

Exams

State Security Law Exam

Series 63

Date: 2/22/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 6/7/1993

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/10/1993

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SKA SECURITIES, INC.

CRD#: 113852 / SEC#: , 8-53366

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

22725 Fairview Center Drive Suite 100, Fairview Park, OH 44126

Mailing Address

22725 Fairview Center Drive Suite 100, Fairview Park, OH 44126

Phone number

(440) 734-3200

Established

Ohio since 03/05/2001

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WALCHER, RUSSEL BRIAN	CHIEF COMPLIANCE OFFICER	2444322
WALCHER, RUSSEL BRIAN	PRESIDENT	2444322

Red Flags

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

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Advisor Monitoring

Firm Stability Insights

Charles W. Dunn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles William Dunn's CRS (Customer Relationship Summary).

Certified licenses

Experience

SKA SECURITIES, INC.

ALTSOURCED SOLUTIONS, LLC

STRONG CAPITAL MARKETS, LLC

BRUCE A. LEFAVI SECURITIES, INC.

MORRIS GROUP, INC.

BOUSTEAD SECURITIES, LLC

FIRST PALLADIUM, LLC

TAG WEALTH MANAGEMENT, LLC

SBC PARTNERS

MERIDIAN CAPITAL LLC

INVESTMENT VISA CONSULTANTS, LLC

AVIOR CAPITAL, LLC

ABG, LLC

TCFG WEALTH MANAGEMENT, LLC

J.W. MILLEGAN, INC.

INTERNET SECURITIES

PACIFIC ADVISORY GROUP OF AMERICA, LLC

SUTTER SECURITIES INCORPORATED

SUTTER SECURITIES INCORPORATED

PARTHENON L.P.

OFFROAD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/1993

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/16/1993

Series 27

Date: 6/7/1993

Series 24

Date: 3/10/1993

FINRA

Current Firm

SKA SECURITIES, INC.

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SKA SECURITIES, INC.

TRUST BUT VERIFY

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