JD
John B. Dorn
LEELYN SMITH
Geneva, IL 60134
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CRD#: 2561615
JD
Professional summary
John Brian Dorn, AIF®, who also goes by Brian J Dorn, is a registered financial advisor currently at LEELYN SMITH, LLC located in Geneva, Illinois and LPL FINANCIAL LLC located in Geneva, Illinois.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. John has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian J Dorn
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. 11/29/2017 - The Retirement Network - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 6/24/2016 - 160 Hours Per Month/160 Hours During Securities Trading. 2. 4/20/2018 - The Retirement Network - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 11/29/2017 - I provide investment advisory services through The Retirement Network, an independent investment advisor firm. I started this business activity in 11/29/2017. I expect to spend approximately hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 3/12/2020 - Leelyn Smith - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 2/4/2020. 4. 9/9/2020 - Leelyn Smith, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 08/2020 - 112 Hours Per Month/50 Hours During Securities Trading - I provide investment advisory services through Leelyn Smith LLC, an independent investment advisor firm. I started this business activity in 08/2020. I expect to spend approximately 112 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 05/22/2023 - Emergent Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 03/01/2023
CRS (Client Relationship Summary) - RIA
Click below to view John Brian Dorn'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®
Experience
Current
July 18, 2017 - Present
LEELYN SMITH, LLC
Office #1: 10 N. Third Street, Geneva, IL 60134RIA
CRD#: 110517
Geneva, IL
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 10 N. Third Street, Geneva, IL 60134Office #2: 700 Commerce Drive Ste 500, Oak Brook, IL 60523RIA
BD
CRD#: 6413
Geneva, IL
Past
November 29, 2017 - August 31, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
JOLIET, IL
Past
December 5, 2013 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
GENEVA, IL
Past
November 1, 2012 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
GENEVA, IL
Past
October 16, 2006 - October 15, 2012
NORTHERN LIGHTS DISTRIBUTORS, LLC
BD
CRD#: 126159
ELKHORN, NE
Past
March 4, 2005 - May 1, 2006
GUGGENHEIM DISTRIBUTORS, LLC
BD
CRD#: 40805
ROCKVILLE, MD
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".
LS
LEELYN SMITH, LLC
EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC
CRD#: 110517 / SEC#: 801-113460
RIA
Registered Investment Advisory firm - (6/14/2018 Approved)Illinois
Registered Investment Advisory firm - (6/19/2018 Terminated)Texas
Registered Investment Advisory firm - (12/31/2002 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Illinois(7/18/2017)
RR
Illinois(11/29/2017)
RR
Ohio(11/29/2017)
RR
Virginia(11/29/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LEELYN SMITH, LLC
EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC
CRD#: 110517 / SEC#: 801-113460
RIA
Registered Investment Advisory firm - (6/14/2018 Approved)Illinois
Registered Investment Advisory firm - (6/19/2018 Terminated)Texas
Registered Investment Advisory firm - (12/31/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10 N. Third Street, Geneva, IL 60134
Mailing Address
Phone number
(630) 232-8995
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,539 |
| AUM (Assets Under Management) | $ 722,181,779 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
