James T. Dunn
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.
James Timothy Dunn was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2004. James had worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2015 - November 23, 2016
CLEARWATER SECURITIES, LLC
November 5, 2004 - April 14, 2010
SAWTOOTH INVESTMENT MANAGEMENT LLC
November 5, 2004 - February 11, 2021
CLEARWATER ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 3/3/2015
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CLEARWATER SECURITIES, LLC
CRD#: 169900 / SEC#: , 8-69398
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOCKEYE TRADING COMPANY, INC. | MEMBER | |
| DUNN, JAMES TIMOTHY | CEO & CFO | 4652633 |
| PFISTER, BRITTANY LEE | CCO |
Red Flags
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