DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

CHARLES RICHARD DUNN

Advisor at CETERA INVESTMENT ADVISERS LLC

TUCSON, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ddb2a0f0-5b70-a1e5-c74d-e6405682f3cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 9, 2006 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: CETERA INVESTMENT ADVISERS 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: Apr 19, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 19, 1991
First registration: Aug 9, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 2130194

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Nov 12, 2020	n/a	yes	TUCSON, AZ	Current employment
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jan 2, 2014	Nov 12, 2020	no	TUCSON, AZ	Previous registration
SOUTHWEST INVESTMENT ADVISORS, INC.	Former SEC adviser	Dec 6, 2010	Mar 17, 2014	no	TUCSON, AZ\|TUCSON, AZ\|TUCSON, AZ	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Nov 15, 2010	Apr 7, 2011	no	SAN DIEGO, CA\|TUCSON, AZ\|TUCSON, AZ\|TUCSON, AZ\|TUCSON, AZ	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Aug 9, 2006	Nov 18, 2010	no	TUCSON, AZ\|TUCSON, AZ	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
FIRST ALLIED ADVISORY SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
SOUTHWEST INVESTMENT ADVISORS, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Mar 17, 2014	Jan 2, 2014	-74	Firm change after gap	Other
FIRST ALLIED SECURITIES, INC.	SOUTHWEST INVESTMENT ADVISORS, INC.	Apr 7, 2011	Dec 6, 2010	-122	Firm change after gap	Other
RBC CAPITAL MARKETS, LLC	FIRST ALLIED SECURITIES, INC.	Nov 18, 2010	Nov 15, 2010	-3	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Nov 12, 2020 to presentfactForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jan 2, 2014 to Nov 12, 2020factForm ADV
→ SOUTHWEST INVESTMENT ADVISORS, INC.Registered adviserregistration: previous registration
Dec 6, 2010 to Mar 17, 2014factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Nov 15, 2010 to Apr 7, 2011factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Aug 9, 2006 to Nov 18, 2010factForm ADV

Dated events

No dated event names this entity yet.