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JD

John L. Dunn

WEALTHFORGE SECURITIES
Richmond, VA 23230
Some features on this profile are disabled
CRD#: 4757056
JD

Professional summary

John Lindsey Dunn is a registered financial professional currently at WEALTHFORGE SECURITIES, LLC located in Richmond, Virginia.

John is registered as a RR (Registered Representative) and started their career in finance in 2004. John has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
Dual employee with affiliated SEC registered investment advisors, NexPoint Asset Management, L.P. and NexPoint Advisors, L.P.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Lindsey Dunn'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

May 3, 2024 - Present

WEALTHFORGE SECURITIES, LLC

Office #1: 3015 W Moore Street Suite 102, Richmond, VA 23230
BD
CRD#: 152550
Richmond, VA
Past

July 7, 2023 - May 1, 2024

DOLIVER ADVISORS, L.P.

RIA
CRD#: 106247
HOUSTON, TX
Past

September 6, 2018 - June 27, 2023

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

July 18, 2017 - August 20, 2018

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

June 2, 2016 - May 25, 2017

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

July 30, 2015 - June 8, 2016

NEXBANK SECURITIES INC

BD
CRD#: 133267
DALLAS, TX
Past

January 21, 2015 - July 28, 2015

AEI SECURITIES, INC.

BD
CRD#: 6158
ST. PAUL, MN
Past

September 20, 2012 - December 31, 2014

D.H. HILL SECURITIES, LLLP

BD
CRD#: 41528
KINGWOOD, TX
Past

April 3, 2012 - September 5, 2012

HINES PRIVATE WEALTH SOLUTIONS LLC

BD
CRD#: 128145
HOUSTON, TX
Past

February 19, 2004 - November 14, 2011

HINES PRIVATE WEALTH SOLUTIONS LLC

BD
CRD#: 128145
HOUSTON, TX

State Registrations and Notice Filings

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

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
Alabama
(5/3/2024)
RR
Alaska
(5/3/2024)
RR
Arizona
(5/3/2024)
RR
Arkansas
(5/3/2024)
RR
California
(5/3/2024)
RR
Colorado
(5/3/2024)
RR
Connecticut
(5/3/2024)
RR
Delaware
(5/3/2024)
RR
District of Columbia
(5/3/2024)
RR
Florida
(5/3/2024)
RR
Georgia
(5/3/2024)
RR
Hawaii
(5/3/2024)
RR
Idaho
(5/3/2024)
RR
Illinois
(5/3/2024)
RR
Indiana
(5/3/2024)
RR
Iowa
(5/3/2024)
RR
Kansas
(5/3/2024)
RR
Kentucky
(5/3/2024)
RR
Louisiana
(5/3/2024)
RR
Maine
(5/7/2024)
RR
Maryland
(5/3/2024)
RR
Massachusetts
(5/3/2024)
RR
Michigan
(5/3/2024)
RR
Minnesota
(5/3/2024)
RR
Mississippi
(5/3/2024)
RR
Missouri
(5/3/2024)
RR
Montana
(5/3/2024)
RR
Nebraska
(5/3/2024)
RR
Nevada
(5/3/2024)
RR
New Hampshire
(5/3/2024)
RR
New Jersey
(5/3/2024)
RR
New Mexico
(5/3/2024)
RR
New York
(5/3/2024)
RR
North Carolina
(5/3/2024)
RR
North Dakota
(5/3/2024)
RR
Ohio
(5/3/2024)
RR
Oklahoma
(5/3/2024)
RR
Oregon
(5/3/2024)
RR
Pennsylvania
(5/3/2024)
RR
Puerto Rico
(5/3/2024)
RR
Rhode Island
(5/3/2024)
RR
South Carolina
(5/3/2024)
RR
South Dakota
(5/3/2024)
RR
Tennessee
(5/3/2024)
RR
Texas
(5/3/2024)
RR
Utah
(5/3/2024)
RR
Vermont
(5/3/2024)
RR
Virgin Islands
(5/3/2024)
RR
Virginia
(5/3/2024)
RR
Washington
(5/3/2024)
RR
West Virginia
(5/3/2024)
RR
Wisconsin
(5/3/2024)
RR
Wyoming
(5/3/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/7/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/29/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/18/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WS
WEALTHFORGE SECURITIES, LLC
WEALTHFORGE | WEALTHFORGE, LLC | WEALTHFORGE SECURITIES, LLC

CRD#: 152550 / SEC#: , 8-68464

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
3015 W Moore St Suite 102, Richmond, VA 23230
Mailing Address
3015 W Moore St Suite 102, Richmond, VA 23230
Phone number
(804) 308-0431
Established
Virginia since 07/28/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEALTHFORGE HOLDINGS, INC.PARENT
ARLES, DONNA DIPIETROCFO, PFO, POO6489389
RAPER, JAMES LEROY JRCCO, COO5721253
ROBBINS, GEORGE WILLIAM IVCEO2440106

Disclosures

Regulatory Event3
Arbitration1

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

WEALTHFORGE SECURITIES, LLC

CRD#: 152550Richmond, VA 23230

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