Thomas Eric Dunn

Employer firm

Kestra Advisory Services, LLC CRD 283330

$79.8B regulatory AUM 6,392 advisory clients

Reported services (Item 5G)

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

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

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

Current Employers

Employment History

• 04/2016 → Present
  Kestra Investment Services, Llc
  Elmsford, NY
• 04/2016 → Present
  Kestra Advisory Services, Llc.
  Elmsford, NY
• 08/2007 → Present
  Fusion Financial - Elmsford
  Elmsford, NY

Previous Registrations

• 2000-03-09 → 2007-08-30
  1717 Capital Management Company
  Tarrytown, NY
  Tarrytown, NY

Other Businesses

Business Name: Ash Brokerage Investment Related: No Address: 7609 W. Jefferson Blvd. Ft. Wayne IN 46804 Nature of Business: Insurance Position, Title or Relationship: Other,Indpendent insurance broker. Start Date: 8/20/2007 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Sale of fixed annuities and fixed life insurance.Business Name: Professional Group Marketing, Inc. Investment Related: No Address: 50 Broadway Hawthorne NY 10532 Nature of Business: Insurance Position, Title or Relationship: Independent insurance broker. Start Date: 8/20/2007 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Sales of health insurance plans.Business Name: Westchester Benefit Group, Inc. Investment Related: No Address: 500 Summit Lake Dr., Suite 120 Valhalla NY 10595 Nature of Business: Insurance Position, Title or Relationship: Broker Start Date: 12/1/2007 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Solicit and manage group health insurance plansBusiness Name: Dunn Financial Services Investment Related: Yes Address: 555 Taxter Rd., Suite 190 Elmsford NY 10523 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Owner, sole proprietor Start Date: 1/30/2000 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: Sole owner and managerBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-07-20
• S63 Uniform Securities Agent State Law Examination
  1983-07-13

Designations

• Chartered Financial Consultant