Thomas J. Dunker

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CRD#: 4156114

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.

Thomas James Dunker, who also goes by Thomas J Dunker, Tj Dunker, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas J Dunker | Tj Dunker

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) FINRA; INVESTMENT RELATED: No; ADDRESS: 200 Liberty Street, 11th Floor, New York, NY 10281; NATURE: FINRA is a regulatory body for broker-dealers.; POSITION: FINRA Arbitrator; START DATE: 05/31/2021; NUMBER OF HOURS/MONTH: 1 Hr.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 1 Hr.; DUTIES: I have been selected to participate in a roster of FINRA arbitrators. This will be an as needed position to serve on an arbitration panel for industry related matters. I will serve as a non-public arbitrator. (2) Salt Lake Academy of Music; INVESTMENT RELATED: No; ADDRESS: 1192 Wilmington Ave, Salt Lake City, UT 84106; NATURE: Salt Lake Academy of Music (SLAM) is a non-profit organization focused on providing all children in our community access to instruments, instruction and opportunity regardless of socioeconomics.; POSITION: Board Member; START DATE: 06/17/2021; NUMBER OF HOURS/MONTH: 3 Hrs; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs; DUTIES: The responsibility of the Board of Directors is to lead SLAM and ensure continued success, defined as the fulfillment of the organization's mission and achievement of the goals periodically set by the Board. The Board shall also provide continual governance and oversight of the management of SLAM, and in doing so will assure financial stability and sustainability of the organization. (3) E Wyatt Properties; INVESTMENT RELATED: No; ADDRESS: PO Box 521614, SLC, UT 84152; NATURE: Ownership of a 2-unit rental property; POSITION: Managing Member; START DATE: 09/11/2017; NUMBER OF HOURS/MONTH: 01Hr; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0Hrs; DUTIES: Selection of and oversight for property management company Update monthly financials and provide annual financials to bookkeeper Responsible for management of the LLC as a legal entity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 30, 2016 - May 3, 2024

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

SALT LAKE CITY, UT

Past

August 20, 2013 - November 30, 2016

FINANCIAL ENGINES ADVISOR CENTER, LLC

RIA

CRD#: 109238

SALT LAKE CITY, UT

Past

May 17, 2006 - December 7, 2012

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

DRAPER, UT

Past

September 30, 2004 - December 7, 2012

TD AMERITRADE, INC.

RIA

CRD#: 7870

DRAPER, UT

Past

September 30, 2004 - December 7, 2012

TD AMERITRADE, INC.

CRD#: 7870

DRAPER, UT

Past

January 31, 2003 - September 23, 2004

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

FISHERS (INDIANAPOLIS), IN

Past

July 20, 2000 - September 23, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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".

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/24/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/2/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/19/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/28/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 7/15/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/29/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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Contact information

Main Address

3945 Freedom Circle, Santa Clara, CA 95054

Mailing Address

Phone number

(800) 601-5957

Established

Firm type

Fiscal year end

# of Employees

1,616

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)

EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,552,934
AUM (Assets Under Management)	$ 292,902,969,770

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.

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Thomas J. Dunker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FINANCIAL ENGINES ADVISOR CENTER, LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

EDELMAN FINANCIAL ENGINES

State Registrations and Notice Filings

Exams

Series 66

Date: 1/24/2003

Series 63

Date: 8/2/2000

Series 7

Date: 7/19/2000

Series 24

Date: 3/28/2007

Series 10

Date: 7/15/2004

Series 9

Date: 4/29/2004

Current Firm

EDELMAN FINANCIAL ENGINES

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EDELMAN FINANCIAL ENGINES

TRUST BUT VERIFY

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