James Patrick Dunn

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Waukesha, WI
• 11/2016 → 04/2018
  Wells Fargo Clearing Services, Llc
  Waukesha, WI
• 04/2018 → Present
  Rbc Capital Markets, Llc.
  Brookfield, WI

Previous Registrations

• 1991-05-13 → 2018-04-06
  Wells Fargo Clearing Services, Llc
  Waukesha, WI
  Milwaukee, WI
  Milwaukee, WI

Other Businesses

(2). ANDEAN HEALTH AND DEVELOPMENT ADVISORY BOARD; ADDRESS: UW DEPARTMENT OF FAMILY MEDICINE 1100 DELAPLAIN CT, MADISON, WI 53715; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: 501c3 BUILDING HOSPITALS, TRAINING DOCTORS AND PROVIDING HEALTHCARE TO POOR IN ECUADOR; CAPACITY: BOARD OF DIRECTORS; START DATE: 3/21/2018; DUTIES: NONE EXCEPT AS OTHERWISE INDICATED; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (3) Name: Jesuit Retreat House Address: 4800 Fahrnwald Road Oshkosh, Wi 54902 Business Description: Retreat House offering spiritual renewal for attendees Business is not investment related Projected Start Date: 07/01/20 Capacity: Director Duties Performed: Member of the board only Devoted to this OBA per Month: 1 to 2 hrs. Hours Devoted to this OBA during business hours: 0 (4) Name: Elmbrook Rotary Club and Foundation Address: 1800 Highland Drive Elm Grove, WI 53122 Business Description: community service organization Business is not investment related Projected Start Date: 07/01/20 Capacity: Director Duties Performed: Typical duties of a director, strategic planning, goal setting, committee level budget review ensuring the future success of the organization etc. Devoted to this OBA per Month: 1-2 hrs. Hours Devoted to this OBA during business hours: 1

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-04-10
• S63 Uniform Securities Agent State Law Examination
  1984-07-13