RD
Robert M. Dunne
CETERA INVESTMENT ADVISERS LLC
SCHAUMBURG, IL 60173-2096
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CRD#: 4433014
RD
Professional summary
Robert Michael Dunne is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois and CETERA INVESTMENT SERVICES LLC located in Schaumburg, Illinois.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Robert has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 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: ROBERT DUNNE INVESTMENT RELATED: NO ADDRESS: NAPERVILLE, IL 60565 NATURE OF BUSINESS: DESIGN AND DEVELOP WEBSITES, EMAIL MARKETING AND MISCELLANEOUS TECHNOLOGY CONSULTING FOR LOCAL COMMUNITIES AND SMALL BUSINESS. POSITION/TITLE/RELATIONSHIP: SOLE PROPRIETOR START DATE: 6/2022 APX NUMBER OF HOURS PER WEEK: 3-6 APX NUMBER OF HOURS DURING TRADING HOURS: 3-6 BRIEF DESCRIPTION OF DUTIES: DESIGN AND DEVELOP WEBSITES, EMAIL MARKETING AND MISCELLANEOUS TECHNOLOGY CONSULTING FOR LOCAL COMMUNITIES AND SMALL BUSINESS, PERFORM MOST SERVICES MYSELF;
CRS (Client Relationship Summary) - RIA
Click below to view Robert Michael Dunne'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096RIA
CRD#: 105644
SCHAUMBURG, IL
Current
October 20, 2022 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173BD
CRD#: 15340
Schaumburg, IL
Current
October 20, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173BD
CRD#: 13572
Schaumburg, IL
Current
October 20, 2022 - Present
CETERA ADVISORS LLC
Office #1: 1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173BD
CRD#: 10299
Schaumburg, IL
Past
October 20, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
July 20, 2006 - June 22, 2022
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
RIA
CRD#: 109701
ELMHURST, IL
Past
June 12, 2003 - June 22, 2022
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
ELMHURST, IL
Past
August 10, 2001 - February 27, 2003
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
ELMHURST, IL
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
RR
Illinois(10/20/2022)
IAR
Illinois(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/2/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
