Dave Dunn: $8.8mm Complaint Against Dunn Wealth Advisor

Walnut Creek, California financial advisor Dave Dunn (CRD# 2819556) recently received an investor complaint alleging elder abuse. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates, having previously been registered with Oppenheimer & Company.

Mr. Dunn’s BrokerCheck report discloses one investor complaint. Filed in January 2025, it alleges that as a representative of Oppenheimer & Company, he committed financial elder abuse, made unauthorized stock sales, and recommended unsuitable transactions. The pending complaint alleges damages of $8.8 million.

Raymond James’ website includes a profile of Mr. Dunn that describes his background and experience as a Senior Vice President at Dunn Wealth Management, a practice within the firm. “Dave creates long-term meaningful relationships with a select group of clients, providing personalized financial planning advice while utilizing some of the industry’s most comprehensive resources,” it explains. “This customized approach takes into account your investing experience, expectations for returns, risk tolerance, and portfolio performance.”

According to the Financial Industry Regulatory Authority, Dave Dunn holds 28 years of securities industry experience. Based in Walnut Creek, California, he has been registered as a broker and an investment advisor with Raymond James & Associates since 2023. His past registrations include Oppenheimer & Company (San Francisco, California; 2007-2023) and Wachovia Securities (San Francisco, California; 1996-2007). His credentials include the passage of four securities industry qualifying exams: the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; and the General Securities Representative Examination, or Series 7. He holds 21 state licenses. (Information current as of February 15, 2025.)

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