Dave Dunham, financial advisor Omaha NE
83 score

Dave Dunham

CRD Number: 1954969
Current Firm: Morgan Stanley

Dave Dunham (CRD# 1954969) is an Investment Advisor Representative working at Morgan Stanley in Omaha, NE and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 1
Morgan Stanley Smith Barney Omaha, NE Jun 2009 - Current 7
Citigroup Global Markets Inc. Omaha, NE Sep 1993 - Current 23
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1989
S65 NASAA Investment Advisors Law Examination Mar 1995
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Dave R. Dunham
Phone Number: 914-225-5510
Registered State(s):
  • NE
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from Dave Dunham and other advisors.
BADGES
83

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