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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Dunn is a financial advisor with Charles Schwab & CO., Inc. Richard Dunn is a financial advisor with over 30 years of experience in the financial services industry. He is registered with the state of Colorado as an investment advisor representative (IAR) and holds licenses for both investment advisory and broker-dealer registrations. Richard Dunn has a broad range of experience, having previously worked at CAL FED INVESTMENTS and INVEST FINANCIAL CORPORATION. He holds a number of professional designations, including a Series 6, 7, 9, 10, 63, and 66. Richard Dunn specializes in providing financial planning services and selection of other advisors. He also provides wrap fee programs and financial planning advisor referrals.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CO
07/09/2009 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
CA
12/03/1996 - 09/08/2000
CAL FED INVESTMENTS (SACRAMENTO CA)
WI
01/31/1990 - 12/05/1994
INVEST FINANCIAL CORPORATION (APPLETON WI)
BOTH
Issued 12/29/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/17/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/01/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/29/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/2000
Series 7 - General Securities Representative Examination
BC
Issued 01/29/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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