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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

THOMAS FRANCIS DUNN

Advisor at LPL ENTERPRISE, LLC

MADISON, WI

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 11, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL ENTERPRISE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 23, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Aug 23, 2002
First registration: Jan 11, 2003
Dual registered: yes, broker-dealer
Other names: TOMMY DUNN|TOM DUNN|T D
IAPD individual key: 4556872

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL ENTERPRISE, LLC	Bd affiliated wealth	Oct 2, 2025	n/a	yes	MADISON, WI	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Aug 11, 2020	Dec 6, 2024	no	WAUWATOSA, WI\|MADISON, WI\|NEWARK, NJ	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Sep 26, 2018	Dec 31, 2019	no	Madison, WI\|Madison, WI\|Madison, WI	Previous registration
KMA FINANCIAL SERVICES, LLC	n/a	Mar 20, 2017	Apr 17, 2018	no	MADISON, WI	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Dec 20, 2010	Dec 21, 2016	no	VERONA, WI\|MADISON, WI	Previous registration
THOMPSON INVESTMENT MANAGEMENT, INC.	Mixed wealth	Jan 12, 2004	Feb 4, 2009	no	MADISON, WI	Previous registration
WISCONSIN CAPITAL MANAGEMENT, LLC	Independent wealth	Jan 11, 2003	Jan 9, 2004	no	MADISON, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Dec 6, 2024	Oct 2, 2025	300	Firm change	Ibd to ibd
MML INVESTORS SERVICES, LLC	PRUCO SECURITIES, LLC	Dec 31, 2019	Aug 11, 2020	224	Firm change	Ibd to ibd
KMA FINANCIAL SERVICES, LLC	MML INVESTORS SERVICES, LLC	Apr 17, 2018	Sep 26, 2018	162	Firm change	Other
PRUCO SECURITIES, LLC	KMA FINANCIAL SERVICES, LLC	Dec 21, 2016	Mar 20, 2017	89	Firm change	Other
THOMPSON INVESTMENT MANAGEMENT, INC.	PRUCO SECURITIES, LLC	Feb 4, 2009	Dec 20, 2010	684	Firm change after gap	Other
WISCONSIN CAPITAL MANAGEMENT, LLC	THOMPSON INVESTMENT MANAGEMENT, INC.	Jan 9, 2004	Jan 12, 2004	3	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
5685:8733:NJ:2024-12-05	Dec 6, 2024	Oct 2, 2025	NEWARK, NJ	Firm change

Relationships

Registered with (6)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Oct 2, 2025 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Aug 11, 2020 to Dec 6, 2024factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Sep 26, 2018 to Dec 31, 2019factForm ADV
→ KMA FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Mar 20, 2017 to Apr 17, 2018factForm ADV
→ THOMPSON INVESTMENT MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 12, 2004 to Feb 4, 2009factForm ADV
→ WISCONSIN CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 11, 2003 to Jan 9, 2004factForm ADV

Dated events

Occurred
Dec 6, 2024
Advisor changed firm
Thomas Francis Dunn left Pruco Securities, Llc for Lpl Enterprise, Llc (registered 2025-10-02)
Form ADVobserved 6 days ago