Charles Richard Dunn

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2010 → 09/2022
  First Allied Securities, Inc.
  San Diego, CA
• 01/2014 → Present
  Charles R. Dunn Investment Advisors, Llc.
  Tucson, AZ
• 01/2014 → 11/2020
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 11/2020 → 11/2020
  First Allied Advisory Services
  Schaumburg, IL
• 09/2022 → Present
  Cetera Advisors Llc
  Tucson, AZ
• 09/2022 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2014-01-02 → 2020-11-12
  First Allied Advisory Services, Inc.
  Tucson, AZ
• 2010-12-06 → 2014-03-17
  Southwest Investment Advisors, Inc.
  Tucson, AZ
  Tucson, AZ
  Tucson, AZ
• 2010-11-15 → 2011-04-07
  First Allied Securities, Inc.
  San Diego, CA
  Tucson, AZ
  Tucson, AZ
  Tucson, AZ
  Tucson, AZ
• 2006-08-09 → 2010-11-18
  Rbc Capital Markets, Llc
  Tucson, AZ
  Tucson, AZ

Other Businesses

1. NAME OF OTHER BUSINESS: ORDER OF MALTA WESTERN ASSOCIATION, USA; INVESTMENT RELATED: NO; ADDRESS: 5510 N CAMINO REAL, TUCSON, AZ, 85718; NATURE OF BUSINESS: NON-PROFIT ORGANIZATION; START DATE: 5/2009; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: MEMBER OF CATHOLIC CHARITY - DEFEND THE FAITH & TAKE CARE OF THE SICK & POOR; 2. OFF SITE SOLAR LLC;PARTNER;REAL ESTATE (RENTAL PROPERTY/PASSIVE INVESTMENT) ;4 HOURS PER MONTH; 01/10/2014; 3. CHARLES R DUNN INVESTMENT ADVISORS; DIRECT OWNER; DBA; START DATE 11/11/2010; 0 HOURS PER MONTH; 4. KINO BORDER INITIATIVE; BOARD OF DIRECTORS; NON-PROFIT ORGANIZATION; START DATE 08/01/2022; 4 HOURS PER MONTH; 5. NAME OF OTHER BUSINESS: ST. FRANCIS SHELTER; INVESTMENT RELATED: NO; ADDRESS: 601 E FT LOWELL, TUCSON, AZ 85705; NATURE OF BUSINESS: NONPROFIT; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: EXECUTIVE DIRECTOR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: STRATEGIC PLANNING & OVERSEE FUNDRAISING OPPORTUNITIES; 6. NAME OF OTHER BUSINESS: SACRED HEART CHURCH; INVESTMENT RELATED: NO; ADDRESS: : 601 E FT LOWELL, TUCSON, AZ 85705; NATURE OF BUSINESS: NONPROFIT START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: FINANCE CHAIR; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: OVERSEE FINANCIAL STATEMENTS & RUDIMENTARY FINANCIAL OVERVIEW OF BUDGETS; 7. NAME OF OTHER BUSINESS: MATHIS FOR STATE HOUSE; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: VOLUNTEERING; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: FINANCE CHAIR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: OVERSEEING FUNDRAISING OPPORTUNITIES; 8. NAME OF OTHER BUSINESS: TUCSON HOPE FACTORY; INVESTMENT RELATED: NO; ADDRESS: 5510 N CAMINO REAL TUCSON, AZ 85718; NATURE OF BUSINESS: NON PROFIT HOMELESS HOUSING; START DATE: 07/2024; POSITION/TITLE/RELATIONSHIP: EXECUTIVE DIRECTOR; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: FUND RAISING, MARKETING, SPOKESMAN, BOARD CHAIRMAN;

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-07-27
• S63 Uniform Securities Agent State Law Examination
  1991-04-19