AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JD

James M. Dunn

TRITAURIAN CAPITAL
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 2557299
JD

Professional summary

James M J Dunn, who also goes by Chip Dunn, is a registered financial professional currently at TRITAURIAN CAPITAL, INCORPORATED located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chip 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 James M J 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

May 18, 2020 - Present

TRITAURIAN CAPITAL, INCORPORATED

Office #1: 430 Madison Avenue 19th Floor, New York, NY 10022
BD
CRD#: 45500
NEW YORK, NY
Past

October 26, 2009 - July 17, 2017

BDT & MSD PARTNERS, LLC

BD
CRD#: 150459
CHICAGO, IL
Past

March 7, 2006 - July 27, 2009

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

March 9, 2004 - March 7, 2006

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

September 27, 2000 - March 5, 2004

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

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
RR
Series 63
Date: 9/28/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/17/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/26/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/21/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRITAURIAN CAPITAL, INCORPORATED
OCTAGON TRADING GROUP, LLC | VAN BUREN FINANCIAL SERVICES, LLC | TRITAURIAN CAPITAL, LLC | TRITAURIAN CAPITAL, INCORPORATED

CRD#: 45500 / SEC#: , 8-51062

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
430 Park Avenue 19th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 19th Floor, New York, NY 10022
Phone number
(212) 249-1827
Established
Delaware since 05/12/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRITAURIAN HOLDINGS, INCORPORATEDDIRECT OWNER
HEYN, WILLIAM BURRISCHIEF EXECUTIVE OFFICER/CCO2520868
ONESTO, RICHARD ERNESTFINOP2453096

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.

Company Information

TRITAURIAN CAPITAL, INCORPORATED

CRD#: 45500New York, NY 10022

TRUST BUT VERIFY

Monitor James Dunn

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics