John R. Zampolin

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CRD#: 1021794

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Richard Zampolin was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1981. John had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 29, 2018 - August 14, 2020

TONE CAPITAL, LLC

RIA

CRD#: 285622

RICHMOND, VA

Past

October 24, 2016 - September 7, 2017

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

January 2, 2013 - October 14, 2016

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

May 5, 1999 - January 2, 2013

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

May 15, 1997 - May 5, 1999

SCOTT & STRINGFELLOW, INC.

CRD#: 3309

RICHMOND, VA

Past

July 7, 1989 - May 12, 1997

DAVENPORT & COMPANY LLC

CRD#: 1588

RICHMOND, VA

Past

March 7, 1985 - July 21, 1989

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

April 2, 1982 - February 4, 1985

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

December 24, 1981 - March 30, 1982

DAVENPORT & COMPANY LLC

CRD#: 1588

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TONE CAPITAL, LLC

CIRCLE ADVISERS GROUP, LLC | WEALTHCRAFT, LLC | TONE CAPITAL, LLC

CRD#: 285622 / SEC#: 801-132702

RIA

Registered Investment Advisory firm - (5/12/2025 Approved)

Virginia

Registered Investment Advisory firm - (6/11/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/29/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/10/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/7/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/1981

General Securities Representative Examination

Current Firm

TONE CAPITAL, LLC

CIRCLE ADVISERS GROUP, LLC | WEALTHCRAFT, LLC | TONE CAPITAL, LLC

CRD#: 285622 / SEC#: 801-132702

RIA

Registered Investment Advisory firm - (5/12/2025 Approved)

Virginia

Registered Investment Advisory firm - (6/11/2025 Terminated)

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Contact information

Main Address

4120 W. Broad Street, Richmond, VA 23230

Mailing Address

Phone number

(804) 447-1404

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	299
AUM (Assets Under Management)	$ 103,231,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/10/2025	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

John R. Zampolin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AEGIS CAPITAL CORP.

BB&T SECURITIES, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, INC.

DAVENPORT & COMPANY LLC

FIRST UNION CAPITAL MARKETS CORP.

J.P. MORGAN SECURITIES LLC

DAVENPORT & COMPANY LLC

Primary Firm SEC Registration

TONE CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/29/2018

Series 63

Date: 12/10/1982

SIE

Date: 9/7/2017

Series 7

Date: 12/19/1981

Current Firm

TONE CAPITAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TONE CAPITAL, LLC

TRUST BUT VERIFY

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