Timothy Dunn, Principal

Dunn Consulting and Training specializes in: Due Diligence Reviews,  Customized Securities Industry Training,  Transfer Agent Compliance, Mock Audits and Testing,  Broker-Dealer Branch Office Inspections, Mock Audits and Testing,  OSJ Inspections,  Supervisory Controls Reviews,  AML Testing, and Suitability Testing.Timothy (Tim) Dunn, the founder and principal of Dunn Consulting and Training has over 35 years in the financial services industry that encompasses both operations management and regulator experience (21 years at the SEC). This diverse experience has benefitted the clients he served as an expert witness and litigation support consultant by helping them understand the complexities of federal and self-regulatory laws and rules and assisting in assembling the strongest possible case.
As a securities compliance consultant, Tim brings his combined experience as an industry practitioner and regulator to assist his transfer agent and broker-dealer clients in navigating through the myriad of compliance challenges in today’s regulatory environment. Tim’s experiences have greatly helped his clients because he understands first-hand the challenges of running a business while attempting to stay in compliance with the governing securities laws and rules.
Tim has been a guest lecturer at several Denver area colleges and universities, conducted numerous in-house training classes, and has participated in many compliance round-table discussions addressing pertinent compliance issues and topics.
Tim has an MBA from the University of Colorado and is a Certified Fraud Examiner. Tim is a member of the Securities Experts Roundtable, and also holds several NASD licenses (Series 4, 7, and 63 – currently inactive).