• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
CHARLES RICHARD DUNN
CRD#: 2130194
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 TUCSON, AZ
CETERA ADVISORS LLCCRD#: 10299 TUCSON, AZ
Registration History
1995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - Present (4 years)BCETERA ADVISORS LLC (CRD# 10299)2022 - Present (2 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2010 - 2022 (11 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)2000 - 2010 (10 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1992 - 2000 (8 years)BR A F FINANCIAL CORPORATION (CRD# 1398)1992 - 1992 (<1 year)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2014 - 2020 (6 years)IASOUTHWEST INVESTMENT ADVISORS,... (CRD# 117052)2010 - 2014 (3 years)IAFIRST ALLIED SECURITIES, INC. (CRD# 32444)2010 - 2011 (<1 year)IARBC CAPITAL MARKETS, LLC (CRD# 31194)2006 - 2010 (4 years)
License(s)

State Registrations

IA
Arizona 11/12/2020

B
New Mexico 9/8/2022

B
Arizona 9/8/2022

B
Texas 9/8/2022

B
Arkansas 9/8/2022

IA
Texas 11/1/2022

B
California 9/8/2022

B
Utah 9/8/2022

B
Colorado 9/8/2022

B
Washington 9/8/2022

B
Illinois 9/8/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
TUCSON, AZ
Registered with this firm since 11/12/2020

B
CETERA ADVISORS LLC (CRD#:10299)
TUCSON, AZ
Registered with this firm since 9/8/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
B
11/10/2010 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) TUCSON, AZ
IA
01/02/2014 - 11/12/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) TUCSON, AZ
IA
12/06/2010 - 03/17/2014 SOUTHWEST INVESTMENT ADVISORS, INC. (CRD#:117052) TUCSON, AZ
IA
11/15/2010 - 04/07/2011 FIRST ALLIED SECURITIES, INC. (CRD#:32444) TUCSON, AZ
IA
08/09/2006 - 11/18/2010 RBC CAPITAL MARKETS, LLC (CRD#:31194) TUCSON, AZ
B
05/26/2000 - 11/18/2010 RBC CAPITAL MARKETS, LLC (CRD#:31194) TUCSON, AZ
B
05/18/1992 - 05/31/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
03/23/1992 - 04/09/1992 R A F FINANCIAL CORPORATION (CRD#:1398) DENVER, CO
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.