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Jim Charles Dunn

Fisher Investments

Tampa, FL

Plano, TX

CRD 5119507

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Employer firm

Fisher Investments CRD 107342

$387B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • PORTFOLIO ASSESSMENT

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

Current Employers
Fisher Investments

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-01-28
TX RA APPROVED 2025-01-14
  • FL RA
    APPROVED
    Since 2025-01-28
  • TX RA
    APPROVED
    Since 2025-01-14

Branch Locations

3109 W Dr Martin Luther King Jr Blvd Suite 600, Tampa, FL 33607 • United States

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Tampa FL 03/2016 07/2023
Morgan Stanley Private Bank, N.A. New York NY 04/2016 07/2023
Lincoln Investment Fort Washington PA 07/2021 01/2025
Fisher Investments Tampa FL 01/2025 Present
  • 03/2016 → 07/2023
    Morgan Stanley Smith Barney Llc
    Tampa, FL
  • 04/2016 → 07/2023
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 07/2021 → 01/2025
    Lincoln Investment
    Fort Washington, PA
  • 01/2025 → Present
    Fisher Investments
    Tampa, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-05-02
S63 Uniform Securities Agent State Law Examination 2015-02-18
  • S66 Uniform Combined State Law Examination
    2016-05-02
  • S63 Uniform Securities Agent State Law Examination
    2015-02-18
Other Names
  • Jim Dunn
  • Jim Dunn
  • James Charles Dunn

View on SEC IAPD

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Nearby Offices

STRATEGIC WEALTH INVESTMENT GROUP, LLC · Tampa, FL
INDEPENDENT ADVISOR ALLIANCE, LLC · Tampa, FL
UNITED CAPITAL FINANCIAL ADVISORS · TAMPA, FL

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