Unclaimed
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 professional with over 35 years of experience in the financial services industry. Richard is currently a Registered Representative at Charles Schwab & CO., Inc. in Irvine, California. Prior to that, Richard was a Registered Representative at TD Ameritrade, Inc. in Irvine, California. Richard holds a Series 7, 8, 9, 10, 63, and 66 license and is a member of FINRA.
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
1
2
CA
01/25/2022 - Present
Charles Schwab & CO., Inc. (Irvine CA)
CA
06/06/2014 - 07/29/2024
TD AMERITRADE, INC. (Irvine CA)
CA
08/04/1992 - 05/16/2014
CHARLES SCHWAB & CO., INC. (ANAHEIM CA)
NY
01/10/1991 - 07/24/1991
CITICORP SELECT INVESTMENTS, INC. (LONG ISLAND CITY NY)
NA
08/28/1987 - 01/02/1991
GRIFFIN FINANCIAL SERVICES
NA
02/02/1987 - 05/18/1987
SHERWOOD CAPITAL, INC.
NA
09/25/1985 - 01/31/1987
FIRST JERSEY SECURITIES, INC.
BOTH
Issued 09/30/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/20/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/30/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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