Phone:  617-854-7500


Timothy Dunn, CFE, Senior Compliance Consultant

Denver, CO

Timothy (Tim) Dunn has 21 years of experience as an SEC Staff Accountant/Examiner and several years of experience as a Brokerage Operations Manager in large wire-houses and a large commercial bank.

During his tenure at the SEC, Tim personally performed and supervised several hundred compliance examinations which included broker-dealers (main offices, OSJs, and unregistered branch offices), investment advisers (individual advisers, fee-based advisers within large financial services companies, solicitors, and third-party money managers), investment companies (mutual fund companies), and transfer agents. These examinations focused on testing for compliance with SEC, state, and FINRA rules. More than 50 of these examinations were referred to the Division of Enforcement for adjudication and Tim provided technical compliance support in these actions.

Tim offers his operations and regulation expertise in assisting broker-dealers, RIAs, ICs, and transfer agents (firms) with navigating through the myriad of compliance challenges in today's regulatory environment. The combined experience as an industry practitioner and a securities regulator has given Tim the hands-on understanding of running a business coupled with the requirements to stay compliant with the governing laws and rules. Tim's familiarity with SEC compliance expectations and resulting enforcement actions for non-compliance, offers value-added assistance to a firm seeking to resolve compliance challenges, correct any deficiencies and maintain a compliant operation.

Licenses & Certifications

FINRA Series 4, 7, and 63 licenses (inactive)
Certified Fraud Examiner, License 559827


Association of Certified Fraud Examiners


University of Colorado - M.B.A.