Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dunn is a financial advisor registered with RBC Capital Markets, LLC. James has been in the industry since June 1984. James has a strong background in the financial services industry, having worked previously at Wells Fargo Clearing Services, LLC and Blunt Ellis & Loewi Incorporated. James is also a registered Investment Advisor and holds Series 3, 63, 65 and 7 licenses along with the SIE exam. James' current focus is on providing investment advice to a wide range of clients, including individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, insurance companies, charitable organizations, and pooled investment vehicles.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
WI
04/05/2018 - Present
RBC Capital Markets, LLC (BROOKFIELD WI)
WI
09/04/1990 - 04/06/2018
WELLS FARGO CLEARING SERVICES, LLC (WAUKESHA WI)
NA
06/20/1984 - 09/04/1990
BLUNT ELLIS & LOEWI INCORPORATED
IA
Issued 04/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/13/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/1984
Series 3 - National Commodity Futures Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Dunn is the right advisor for you? Invested Better is here to help.
