David R. Dunn

SHOT TOWER SECURITIES LLC

Baltimore, MD 21210

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CRD#: 3116967

Professional summary

David Robert Dunn, who also goes by Dave Dunn, David Dunn, is a registered financial professional currently at SHOT TOWER SECURITIES LLC located in Baltimore, Maryland.

David is registered as a RR (Registered Representative) and started their career in finance in 1998. David has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 62, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Dunn | David 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 David Robert 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®

None

Experience

Current

June 10, 2014 - Present

SHOT TOWER SECURITIES LLC

Office #1: Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 21210Office #2: Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 21210

CRD#: 169678

Baltimore, MD

Past

March 13, 2012 - June 19, 2014

SC&H CAPITAL CORPORATION

CRD#: 148291

BALTIMORE, MD

Past

May 24, 2006 - November 15, 2011

SIGNAL HILL CAPITAL GROUP LLC

CRD#: 122782

BALTIMORE, MD

Past

April 29, 2004 - May 5, 2006

B. RILEY SECURITIES, INC.

CRD#: 25027

LOS ANGELES, CA

Past

June 14, 1999 - April 15, 2004

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

October 8, 1998 - June 14, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

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
(7/3/2014)

Maryland
(6/16/2014)

New York
(7/7/2014)

Tennessee
(9/3/2019)

Exams

State Security Law Exam

Series 63

Date: 8/9/2004

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

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/3/2004

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 9/8/1998

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 8/25/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SHOT TOWER SECURITIES LLC

CRD#: 169678 / SEC#: , 8-69380

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

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Contact information

Main Address

Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 21210

Mailing Address

Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 21210

Phone number

(410) 376-7900

Established

Delaware since 09/26/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SHOT TOWER CAPITAL LLC	MANAGING MEMBER
DUNN, DAVID ROBERT	PRESIDENT, CEO, CCO, EXECUTIVE REP., AML SUPERVISOR	3116967
HOPKINS, THOMAS JOHN	FINOP	1835087
LAW, ROBERT WAYNE JR	COO	5008275

Red Flags

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

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Firm Stability Insights

David R. Dunn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Robert Dunn's CRS (Customer Relationship Summary).

Certified licenses

Experience

SC&H CAPITAL CORPORATION

SIGNAL HILL CAPITAL GROUP LLC

B. RILEY SECURITIES, INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/9/2004

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/3/2004

Series 62

Date: 9/8/1998

Series 14

Date: 1/2/2023

Series 24

Date: 8/25/2004

FINRA

Current Firm

SHOT TOWER SECURITIES LLC

Contact information

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SHOT TOWER SECURITIES LLC

TRUST BUT VERIFY

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