Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Dunn is a financial professional with over 30 years of experience in the industry. Charles has a strong background in the financial industry with experience at Cetera Investment Advisers LLC, First Allied Securities, Inc., RBC Capital Markets, LLC, Dean Witter Reynolds Inc., and R A F Financial Corporation. Charles has a wide range of experience in investment advising, financial planning, and portfolio management. Charles is registered as an Investment Advisor Representative (IAR) in Arizona and Texas and holds various FINRA licenses including Series 7, 63, 31, 6TO, and SIE. Charles currently provides services at Cetera Investment Advisers LLC in Tucson, Arizona.
TUCSON, AZ
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 7/27/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/19/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/4/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 3/19/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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