Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Richard Dunn is an Investment Advisor Representative. Charles has been in the financial services industry for over 30 years and holds a Series 7, 31, 63, 65 and SIE licenses. Charles is currently registered with Cetera Investment Advisers LLC in Arizona and Texas. Charles has previously been registered with First Allied Securities, Inc. and RBC Capital Markets, LLC. Charles is a member of the Order of Malta Western Association, USA. He is also a board member of Kino Border Initiative and St. Francis Shelter. Charles is the Executive Director of the Tucson Hope Factory and the Finance Chair of the Sacred Heart Church. Charles specializes in Financial Planning, Pension Consulting, Educational Seminars, Portfolio Management for Individuals and Portfolio Management for Businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
AZ
11/01/2022 - Present
Cetera Investment Advisers LLC (TUCSON AZ)
AZ
11/10/2010 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (TUCSON AZ)
AZ
05/26/2000 - 11/18/2010
RBC CAPITAL MARKETS, LLC (TUCSON AZ)
NY
05/18/1992 - 05/31/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CO
03/23/1992 - 04/09/1992
R A F FINANCIAL CORPORATION (DENVER CO)
IA
Issued 07/27/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/19/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 03/19/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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