John W. Wilkes

NATIONS FINANCIAL GROUP | Managing Principal

Knoxville, TN 37923

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CRD#: 3137610

Professional summary

John Wesley Wilkes IV, who also goes by John W Wilkes IV, John Wilkes, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Knoxville, Tennessee.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Institutional consulting

Trust & estate planning

Financial planning

Retirement planning

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

250K

Are you a "fiduciary"?

Yes

Aliases

John W Wilkes Iv | John Wilkes

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.

WILKES AND GRIFFIN LLC, DBA LIGHTBRIDGE WEALTH MANAGEMENT. 400 EBENEZER RD. KNOXVILLE, TN 37923. IS INVESTMENT RELATED. NATURE OF BUSINESS IS DBA USED TO OFFER INVESTMENT AND ADVISORY SERVICES. POSITON IS OWNER. STARTED 1/1/2022. APPROX. 45 HOURS PER MONTH SPENT ON BUSINESS, 32.5 HOURS DURING TRADING HOURS. DUTIES ARE TRUSTEE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Wesley Wilkes IV's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John Wesley Wilkes IV'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

December 16, 2022 - Present

NATIONS FINANCIAL GROUP, INC.

Office #1: 400 Ebenezer Rd., Knoxville, TN 37923Office #2: 3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

RIA

CRD#: 44181

Knoxville, TN

Current

December 16, 2022 - Present

NATIONS FINANCIAL GROUP, INC.

Office #1: 400 Ebenezer Rd., Knoxville, TN 37923Office #2: 3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

RIA

CRD#: 44181

Knoxville, TN

Past

March 6, 2015 - December 20, 2022

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

KNOXVILLE, TN

Past

March 6, 2015 - December 20, 2022

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

KNOXVILLE, TN

Past

July 1, 2003 - March 6, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

KNOXVILLE, TN

Past

July 1, 2003 - March 6, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

KNOXVILLE, TN

Past

August 21, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

KNOXVILLE, TN

Past

December 8, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

NATIONS FINANCIAL GROUP, INC.

FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.

CRD#: 44181 / SEC#: 801-57407, 8-50588

RIA

Registered Investment Advisory firm - SEC (5/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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.

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

Alabama
(12/21/2022)

Arizona
(12/16/2022)

Arkansas
(12/16/2022)

California
(12/16/2022)

Colorado
(12/16/2022)

Connecticut
(4/4/2023)

District of Columbia
(12/16/2022)

Florida
(12/16/2022)

Georgia
(12/16/2022)

Idaho
(12/16/2022)

Illinois
(12/20/2022)

Indiana
(12/16/2022)

Iowa
(12/16/2022)

Kentucky
(12/16/2022)

Maryland
(12/16/2022)

Massachusetts
(3/8/2024)

Michigan
(12/16/2022)

Minnesota
(12/16/2022)

Mississippi
(12/16/2022)

Missouri
(12/16/2022)

Montana
(5/14/2025)

Nevada
(12/16/2022)

New Jersey
(12/16/2022)

New Mexico
(12/16/2022)

New York
(12/16/2022)

North Carolina
(12/16/2022)

Ohio
(12/16/2022)

Oregon
(12/16/2022)

Pennsylvania
(12/16/2022)

South Carolina
(12/16/2022)

Tennessee
(12/16/2022)

IAR

Tennessee
(12/16/2022)

Texas
(12/16/2022)

IAR

Texas
(2/27/2023)

Utah
(12/16/2022)

Virginia
(12/16/2022)

Washington
(12/16/2022)

West Virginia
(12/16/2022)

Wisconsin
(12/16/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/4/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/17/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/23/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/30/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NATIONS FINANCIAL GROUP, INC.

FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.

CRD#: 44181 / SEC#: 801-57407, 8-50588

RIA

Registered Investment Advisory firm - SEC (5/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

Mailing Address

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

Phone number

(319) 393-9541

Established

Iowa since 11/14/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 33025 (3/26/2025)

WRAP BROCHURE 33025 (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
NFGI HOLDING CORPORATION	HOLDING CORPORATION
BENNETT, RICHARD SCOTT	CEO - CFO	858716
BJORSETH, ERIK JOHN	CHIEF GROWTH OFFICER	4404352
CAIRNEY, STEPHEN MICHAEL	PRESIDENT	3085019
KROUSIE, TRACEY LYNN	CHIEF OPERATIONS OFFICER	4475482
REIGHARD-KEAN, VICKI LIN	CHIEF COMPLIANCE OFFICER	4238486

Regulatory assets under management

Total Number of Accounts	9,822
AUM (Assets Under Management)	$ 3,867,522,560

Disclosures

Arbitration	1
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/26/2025	Cover Page	Report
09/26/2024	Cover Page	Report
11/22/2023	Cover Page	Report
12/28/2022	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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

John W. Wilkes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Wesley Wilkes IV's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Wesley Wilkes IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONS FINANCIAL GROUP, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

NATIONS FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/1998

Series 63

Date: 12/4/1998

SIE

Date: 10/1/2018

Series 31

Date: 5/17/2000

Series 7

Date: 11/23/1998

Series 24

Date: 7/30/2014

FINRA

Current Firm

NATIONS FINANCIAL GROUP, INC.

Contact information

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

NATIONS FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Contact information

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