Jon A. Dauble

DAUBLE+WORTHINGTON EQUITY PORTFOLIOS

Knoxville, TN

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CRD#: 1412416

Professional summary

Jon Alan Dauble, who also goes by Jon A Dauble, is a registered financial advisor currently at DAUBLE+WORTHINGTON EQUITY PORTFOLIOS located in Knoxville, Tennessee.

Jon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Jon has worked at 13 firms and has passed the Series 65, Series 63, Series 5, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jon A Dauble

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.

(1) The Dauble Companies; Knoxville, TN; Not investment related; Tax mitigation services; Position: Officer/Owner; Time spent: 50% of business activity; Duties: Advise Clients on the use of various tax and wealth strategies.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon Alan Dauble's CRS (Customer Relationship Summary).

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

Current

June 23, 2020 - Present

DAUBLE+WORTHINGTON EQUITY PORTFOLIOS

RIA

CRD#: 148530

Knoxville, TN

Past

March 18, 2020 - January 7, 2022

OSAGE PACIFIC ADVISORS, INC.

RIA

CRD#: 284257

Knoxville, TN

Past

October 23, 2008 - March 19, 2020

DAUBLE+WORTHINGTON EQUITY PORTFOLIOS

RIA

CRD#: 148530

EVANSVILLE, IN

Past

April 22, 2008 - September 12, 2008

CAPITAL ADVISORS, INC.

RIA

CRD#: 143411

BOONVILLE, IN

Past

May 22, 2007 - October 1, 2008

CAPITAL SELECT INVESTMENTS CORP.

CRD#: 30649

BOONVILLE, IN

Past

August 11, 2005 - May 29, 2007

LEVEL FOUR FINANCIAL, LLC

RIA

CRD#: 25700

NEWBURGH, IN

Past

July 25, 2005 - May 29, 2007

LEVEL FOUR FINANCIAL, LLC

CRD#: 25700

NEWBURGH, IN

Past

April 15, 2003 - July 25, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

EVANSVILLE, IN

Past

January 17, 2003 - July 25, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

February 25, 2000 - November 29, 2002

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

November 1, 1994 - February 25, 2000

WEDGEWOOD PARTNERS, INC.

CRD#: 21923

ST. LOUIS, MO

Past

May 30, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

May 30, 1991 - November 23, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

September 15, 1989 - December 31, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 3, 1986 - September 15, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

November 20, 1985 - September 19, 1986

WALNUT STREET SECURITIES, INC.

CRD#: 15840

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(6/23/2020)

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: 1/4/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/9/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 2/15/1988

Interest Rate Options Examination

General Industry/Product Exam

Series 3

Date: 2/15/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

Current Firm

DAUBLE+WORTHINGTON EQUITY PORTFOLIOS

DAUBLE+WORTHINGTON CAPITAL MANAGEMENT | DAUBLE+WORTHINGTON EQUITY PORTFOLIOS | DAUBLE+WORTHINGTON CAPITAL MANAGEMENT, LLC

CRD#: 148530 / SEC#:

Indiana

Registered Investment Advisory firm - (10/23/2008 Approved)

Tennessee

Registered Investment Advisory firm - (11/16/2017 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).

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Contact information

Main Address

Evansville, IN

Mailing Address

Phone number

(812) 401-8700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	85
AUM (Assets Under Management)	$ 8,341,641

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

Jon A. Dauble

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon Alan Dauble's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAGE PACIFIC ADVISORS, INC.

DAUBLE+WORTHINGTON EQUITY PORTFOLIOS

CAPITAL ADVISORS, INC.

CAPITAL SELECT INVESTMENTS CORP.

LEVEL FOUR FINANCIAL, LLC

LEVEL FOUR FINANCIAL, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

WEDGEWOOD PARTNERS, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

PRUDENTIAL EQUITY GROUP, LLC

THOMSON MCKINNON SECURITIES INC.

WALNUT STREET SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/4/1999

Series 63

Date: 12/9/1985

Series 5

Date: 2/15/1988

Series 3

Date: 2/15/1988

Series 7

Date: 11/16/1985

Current Firm

DAUBLE+WORTHINGTON EQUITY PORTFOLIOS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DAUBLE+WORTHINGTON EQUITY PORTFOLIOS

TRUST BUT VERIFY

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