Paul E. Dunn

XMS CAPITAL PARTNERS

Chicago, IL 60654

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CRD#: 603645

Professional summary

Paul Edward Dunn is a registered financial professional currently at XMS CAPITAL PARTNERS, LLC located in Chicago, Illinois.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1979. Paul has worked at 18 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Edward 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

November 15, 2024 - Present

XMS CAPITAL PARTNERS, LLC

Office #1: 321 N Clark Street Suite 2440, Chicago, IL 60654

CRD#: 142871

Chicago, IL

Past

May 17, 2011 - September 26, 2024

BLUEROCK CAPITAL MARKETS LLC

CRD#: 136974

Newport Beach, CA

Past

December 8, 2010 - January 18, 2011

CION SECURITIES, LLC

CRD#: 15487

NEW YORK, NY

Past

March 26, 2009 - October 25, 2010

LIGHTSTONE SECURITIES, LLC

CRD#: 132596

MAHWAH, NJ

Past

March 13, 2008 - February 5, 2009

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SAN DIEGO, CA

Past

July 31, 2007 - February 13, 2008

GREENBOOK INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 131563

SAN DIEGO, CA

Past

July 31, 2007 - February 13, 2008

FIRST ALLIED ASSET MANAGEMENT, INC.

RIA

CRD#: 140292

SAN DIEGO, CA

Past

April 24, 2007 - February 5, 2009

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

July 5, 2005 - February 13, 2007

GREENBOOK SECURITIES, INC.

CRD#: 121447

SAN DIEGO, CA

Past

September 8, 2004 - July 16, 2007

GREENBOOK INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 131563

SAN DIEGO, CA

Past

June 10, 2003 - March 19, 2004

COINBASE CAPITAL MARKETS CORP

CRD#: 10722

NEW YORK, NY

Past

June 6, 2002 - May 18, 2004

XELAN INVESTMENT SERVICES, INC.

RIA

CRD#: 111870

SAN DIEGO, CA

Past

January 28, 1994 - April 22, 2002

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

May 1, 1991 - June 16, 1995

PIM FINANCIAL SERVICES, INC.

CRD#: 10547

SAN MARCOS, CA

Past

July 22, 1988 - April 1, 1991

NTS SECURITIES, INC.

CRD#: 14135

LOUISVILLE, KY

Past

January 9, 1987 - November 19, 1988

SOURCE SECURITIES, INC.

CRD#: 8026

Past

March 14, 1985 - February 7, 1986

MCNEIL SECURITIES CORPORATION

CRD#: 5907

Past

March 29, 1983 - January 14, 1985

MCNEIL SECURITIES CORPORATION

CRD#: 5907

Past

April 7, 1981 - June 20, 1983

JMB SECURITIES CORPORATION

CRD#: 5862

Past

November 29, 1979 - February 9, 1981

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

March 2, 1979 - November 9, 1979

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

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

Illinois
(11/15/2024)

Exams

State Security Law Exam

Series 63

Date: 7/10/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/21/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 3/24/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 4/12/1983

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

XMS CAPITAL PARTNERS, LLC

CRD#: 142871 / SEC#: , 8-67502

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

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Contact information

Main Address

321 N Clark Street Suite 2440, Chicago, IL 60654

Mailing Address

321 N Clark Street Suite 2440, Chicago, IL 60654

Phone number

(312) 262-5642

Established

Delaware since 09/22/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
XMS HOLDINGS LLC	HOLDING COMPANY OWNER
BROMBACH, THEODORE JOSEPH	MANAGING PARTNER	1295389
DUDDLESTON, NICOLE LYNN	ACCOUNTING MANAGER AND FINOP	6122496
SPENCE, JOHN FLINN	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER AND AML OFFICER	2079237

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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Advisor Monitoring

Firm Stability Insights

Paul E. Dunn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Edward Dunn's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLUEROCK CAPITAL MARKETS LLC

CION SECURITIES, LLC

LIGHTSTONE SECURITIES, LLC

FIRST ALLIED SECURITIES, INC.

GREENBOOK INVESTMENT MANAGEMENT, INC.

FIRST ALLIED ASSET MANAGEMENT, INC.

FIRST ALLIED SECURITIES, INC.

GREENBOOK SECURITIES, INC.

GREENBOOK INVESTMENT MANAGEMENT, INC.

COINBASE CAPITAL MARKETS CORP

XELAN INVESTMENT SERVICES, INC.

SEI INVESTMENTS DISTRIBUTION CO.

PIM FINANCIAL SERVICES, INC.

NTS SECURITIES, INC.

SOURCE SECURITIES, INC.

MCNEIL SECURITIES CORPORATION

MCNEIL SECURITIES CORPORATION

JMB SECURITIES CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

BLYTH EASTMAN DILLON & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/10/2007

Series 65

Date: 3/21/1994

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/17/1979

Series 14

Date: 1/2/2023

Series 24

Date: 3/24/2006

Series 39

Date: 4/12/1983

FINRA

Current Firm

XMS CAPITAL PARTNERS, LLC

Contact information

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

XMS CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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