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RD

Richard T. Dunnett

PROSPERITY CAPITAL ADVISORS
Schererville, IN 46375
Some features on this profile are disabled
CRD#: 2693001
RD

Professional summary

Richard Thomas Dunnett, who also goes by Richard Thomas Dunnett Jr, Richard Thomas Dunnett, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Schererville, Indiana.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Richard has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richard Thomas Dunnett Jr | Richard Thomas Dunnett

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) - RIA

Click below to view Richard Thomas Dunnett's CRS (Customer Relationship Summary).
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

February 13, 2019 - Present

PROSPERITY CAPITAL ADVISORS

Office #1: 222 Indianapolis Blvd Suite 201, Schererville, IN 46375
RIA
CRD#: 156480
Schererville, IN
Past

November 2, 2020 - January 6, 2025

INNOVATION PARTNERS LLC

BD
CRD#: 146344
CHARLOTTE, NC
Past

January 3, 2019 - November 2, 2020

MERCAP SECURITIES, LLC

BD
CRD#: 156607
SCHERERVILLE, IN
Past

August 21, 2013 - April 13, 2018

MORGAN STANLEY

RIA
CRD#: 149777
ORLAND PARK, IL
Past

August 15, 2013 - April 13, 2018

MORGAN STANLEY

BD
CRD#: 149777
ORLAND PARK, IL
Past

May 3, 2013 - August 30, 2013

RAINMAKER SECURITIES, LLC

BD
CRD#: 132995
CORAL GABLES, FL
Past

March 21, 2011 - November 19, 2012

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
CHICAGO, IL
Past

January 5, 2001 - August 16, 2001

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
CHICAGO, IL
Past

February 21, 1996 - January 5, 2001

MADISON SECURITIES, INC.

BD
CRD#: 32176
CHICAGO, IL
Past

January 30, 1996 - February 6, 1996

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

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".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187

RIA
Registered Investment Advisory firm - (3/22/2011 Approved)

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
Illinois
(8/19/2022)
IAR
Indiana
(2/13/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/20/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/11/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/2011
General Securities Representative Examination

Current Firm

PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187

RIA
Registered Investment Advisory firm - (3/22/2011 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202

SEC notice filing (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PCA PART 2A 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts14,823
AUM (Assets Under Management)$ 3,684,966,200

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.

Company Information

PROSPERITY CAPITAL ADVISORS

CRD#: 156480Schererville, IN 46375

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