Richard F. Dunn

CETERA INVESTMENT ADVISERS LLC

SAINT PAUL, MN

Some features on this profile are disabled

CRD#: 4504691

Professional summary

Richard Fredrick Dunn, CFP®, who also goes by Richard Fredrick Dunn Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Saint Paul, Minnesota and CETERA WEALTH SERVICES, LLC located in Saint Paul, Minnesota.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Richard has worked at 10 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Fredrick Dunn Jr

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.DUNNCREEK ADVISORS LLC POSITION: member/Principal Financial Planner NATURE: Financial planningInvestment management Life insurance advice Long-term Healthcare insurance advice INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 130 START DATE: 10/11/2013 ADDRESS: 904 Delaware Avenue, Saint Paul MN 55118, United States DESCRIPTION: principal financial planner,client meetings to assess needs and goals,creating and presenting financial plansImplementing financial plans, including opening investment accounts establishing life insurance and long term care insurance as needed,ongoing service and support to clients. 2.WHITE BEAR AVENUE BUSINESS ASSOCIATION POSITION: President NATURE: NON-PROFIT BUSINESS ASSOCIATION REPRESENTING LOCAL BUSINESS OWNERS AND THE COMMUNITY. WE RAISE FUNDS TO SUPPORT COMMUNITY DEVELOPMENT PROJECTS IN THE AREA. OUR MAIN ACTIVITY IS THE WHITE BEAR AVENUE PARADE IN CONNECTION WITHE RAMSEY COUNTY FAIR. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 05/15/2010 ADDRESS: 1365 Prosperity Avenue, Saint Paul MN 55106, United States DESCRIPTION: I am responsible for presiding over monthly board of directors meetings and general membership meetings.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Fredrick 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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAINT PAUL, MN

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Saint Paul, MN

Past

October 24, 2024 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

SAINT PAUL, MN

Past

October 24, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Saint Paul, MN

Past

February 13, 2020 - October 29, 2024

CRD#: 6363

LAKE ELMO, MN

Past

April 21, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

LAKE ELMO, MN

Past

January 22, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

LAKE ELMO, MN

Past

April 16, 2002 - January 27, 2009

EDWARD JONES

CRD#: 250

MAPLEWOOD, MN

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arizona
(9/5/2025)

California
(9/5/2025)

Colorado
(9/5/2025)

Florida
(9/5/2025)

Illinois
(9/5/2025)

Minnesota
(9/5/2025)

IAR

Minnesota
(9/5/2025)

North Carolina
(9/5/2025)

Ohio
(9/5/2025)

Pennsylvania
(9/5/2025)

South Dakota
(9/5/2025)

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

Wisconsin
(9/5/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard F. Dunn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Fredrick Dunn's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

ADVISORNET WEALTH PARTNERS

RIDGEWAY CONGER ADVISORY SERVICES

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

EDWARD JONES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/11/2020

Series 66

Date: 4/10/2009

Series 7TO

Date: 2/11/2020

SIE

Date: 1/10/2020

Series 31

Date: 8/17/2009

Series 7

Date: 4/15/2002

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors