JD
Jonathan W. Dry
MBL ADVISORS
Charlotte, NC 28204
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CRD#: 4629167
JD
Professional summary
Jonathan Warner Dry, CFP®, CIMA®, who also goes by Jonathan Warner Dry, Jonathan Dry, is a registered financial advisor currently at MBL ADVISORS located in Charlotte, North Carolina and M HOLDINGS SECURITIES, INC. located in Charlotte, North Carolina.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Jonathan has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jonathan Warner Dry | Jonathan Dry
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) MBL Advisors Inc.; 1017 East Morehead Street, Suite 100, Charlotte, NC 28204; 8/6/2018; Managing Director; Loan arrangement per agreement; Not investment related; 0 hr/mo; 0 hr/mo during trading hr. 2) RiceWrap Foods Corporation; 300 Business Park Drive, Butner, NC 27509; 05/03/2021; Advisory Board Member; Reviewing the companies financials, advising on a corporate growth strategy, and helping to position the company for an exit opportunity; Not Investment Related; 1 hr/mo; 1 hr/mo during trading hr. 3) Sheets Laundry Club, Inc.; 211 McKenzie Rd., Mooresville, NC 28115; 09/01/2021; Board Member; Assist with business strategy and building of advisory team; Not Investment Related; 1 hr/mo; 1 hr/mo during trading hr. 4) BatteryXchange; 9319 Robert D Snyder Road, Suite 304B, Charlotte NC 28223; Portable battery charging service; Not Investment Related; Advisory Board Member; Assist in outlining governance and strategic planning with the owner and other board members; 12/1/2022; 1 hr/mo; 1 hr/mo during trading hr. 5) Frontline Healthcare Partners; 677 King Street, Suite 410, Charleston SC 29403; Investment Fund; Investment Related; Consultant; Advise Fund Partners regarding issues that may be valuable to the investment process, and introduce potential family office and institutional capital LPs for Fund; 02/03/2025; 3 hr/mo; 0 hr/mo during trading hr.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Warner Dry'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®
CFP®
Start date: 2005
Experience
Current
November 13, 2019 - Present
MBL ADVISORS
Office #1: 301 S. Mcdowell Street Suite 1100, Charlotte, NC 28204RIA
CRD#: 305176
Charlotte, NC
Current
August 6, 2018 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 301 S Mcdowell Street, Suite 1100, Charlotte, NC 28204RIA
BD
CRD#: 43285
Charlotte, NC
Past
August 6, 2018 - January 30, 2020
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
PORTLAND, OR
Past
July 23, 2013 - August 3, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHARLOTTE, NC
Past
July 8, 2013 - August 3, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHARLOTTE, NC
Past
November 5, 2003 - July 7, 2005
UWHARRIE INVESTMENT ADVISORS, INC.
RIA
CRD#: 117592
ALBEMARLE, NC
Past
February 12, 2003 - November 1, 2004
THE STRATEGIC ALLIANCE CORPORATION
BD
CRD#: 32788
ALBEMARLE, NC
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".
MA
MBL ADVISORS
MBL ADVISORS | MBL WEALTH, LLC
CRD#: 305176 / SEC#: 801-117591
RIA
Registered Investment Advisory firm - (11/7/2019 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.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
RR
Florida(8/6/2018)
RR
Georgia(8/6/2018)
RR
Indiana(8/6/2018)
RR
North Carolina(8/6/2018)
IAR
North Carolina(11/13/2019)
RR
South Carolina(8/6/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MBL ADVISORS
MBL ADVISORS | MBL WEALTH, LLC
CRD#: 305176 / SEC#: 801-117591
RIA
Registered Investment Advisory firm - (11/7/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
301 S. Mcdowell Street Suite 1100, Charlotte, NC 28204
Mailing Address
Phone number
(704) 333-8461
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 951 |
| AUM (Assets Under Management) | $ 1,142,902,910 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/17/2022 |
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.
