Robert C. Seevers

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CRD#: 7542829

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.

Robert Cole Seevers was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2022. Robert had worked at 1 firm and has passed the Series 66, Series 7TO and SIE 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)

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

April 10, 2023 - August 21, 2023

DUNHAM

RIA

CRD#: 13162

SAN DIEGO, CA

Past

August 6, 2022 - August 21, 2023

DUNHAM

CRD#: 13162

SAN DIEGO, CA

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".

DUNHAM

CRD#: 13162 / SEC#: 801-25803, 8-28527

RIA

Registered Investment Advisory firm - SEC (11/29/1985 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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: 9/16/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/5/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/31/2022

Securities Industry Essentials Examination

Current Firm

DUNHAM

CRD#: 13162 / SEC#: 801-25803, 8-28527

RIA

Registered Investment Advisory firm - SEC (11/29/1985 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

6256 Greenwich Drive Suite 550, San Diego, CA 92122

Mailing Address

P.o. Box 910309, San Diego, CA 92191

Phone number

(858) 964-0500

Established

California since 05/26/1982

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (10 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

DAIC WRAP FEE BROCHURE - MARCH 2025 (3/28/2025)

DAIC FIRM BROCHURE - MARCH 2025 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
DUNHAM & ASSOCIATES HOLDINGS, INC.	SHAREHOLDER
BOISCH, HELMUT	CHIEF OPERATIONS OFFICER	5371920
CAPIZZI, SALVATORE MICHAEL	CHIEF SALES AND MARKETING OFFICER	1037757
DUNHAM, JEFFREY ALAN	CHIEF EXECUTIVE OFFICER	1149167
DYKMANS, RYAN JOHN	PRESIDENT AND CHIEF INVESTMENT OFFICER	4847419
GARDYNE, JENNIFER KIM	CHIEF FINANCIAL OFFICER	8188759
PALERMO, VIKTORIA IRENA	CHIEF COMPLIANCE OFFICER	4769903

Regulatory assets under management

Total Number of Accounts	12,032
AUM (Assets Under Management)	$ 4,737,607,372

Disclosures

Regulatory Event	2
Arbitration	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2025	Cover Page	Report
10/23/2024	Cover Page	Report
07/26/2023	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.

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Robert C. Seevers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DUNHAM

Primary Firm SEC Registration

DUNHAM

State Registrations and Notice Filings

Exams

Series 66

Date: 9/16/2022

Series 7TO

Date: 8/5/2022

SIE

Date: 5/31/2022

Current Firm

DUNHAM

Contact information

SEC notice filing (10 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

DUNHAM

TRUST BUT VERIFY

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