KD
Kelly A. Dunagan
J.DEREK LEWIS & ASSOCIATES
NEWPORT BEACH, CA 92660
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CRD#: 4777170
KD
Professional summary
Kelly Allan Dunagan JR. is a registered financial advisor currently at J.DEREK LEWIS & ASSOCIATES, INC. located in Newport Beach, California and JDL SECURITIES CORPORATION located in Newport Beach, California.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kelly has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Allan Dunagan JR.'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®
NoneExperience
Current
August 25, 2005 - Present
J.DEREK LEWIS & ASSOCIATES, INC.
Office #1: 1001 Dove Street, Suite 160, Newport Beach, CA 92660RIA
CRD#: 122307
NEWPORT BEACH, CA
Current
October 15, 2004 - Present
JDL SECURITIES CORPORATION
Office #1: 1001 Dove Street Suite 160, Newport Beach, CA 92660-2816Office #2: 1001 Dove Street, Suite 160, Newport Beach, CA 92660-2816BD
CRD#: 28131
Newport Beach, CA
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".
JL
J.DEREK LEWIS & ASSOCIATES, INC.
J.DEREK LEWIS & ASSOCIATES, INC.
CRD#: 122307 / SEC#: 801-67339
RIA
Registered Investment Advisory firm - (12/4/2006 Approved)California
Registered Investment Advisory firm - (12/12/2006 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
RR
Arizona(3/16/2010)
IAR
Arizona(5/14/2015)
RR
California(10/15/2004)
IAR
California(8/25/2005)
RR
Colorado(3/16/2010)
IAR
Colorado(5/8/2015)
RR
Hawaii(3/23/2007)
IAR
Hawaii(4/30/2015)
RR
Idaho(2/21/2018)
IAR
Idaho(7/21/2020)
IAR
Kansas(5/27/2021)
IAR
Kentucky(7/15/2025)
IAR
Michigan(8/11/2023)
RR
Nevada(3/19/2010)
IAR
Nevada(5/27/2020)
IAR
New Mexico(7/14/2025)
IAR
New York(6/27/2022)
IAR
North Carolina(7/23/2020)
RR
Oregon(11/9/2011)
IAR
Oregon(9/8/2020)
IAR
Pennsylvania(7/21/2020)
IAR
South Carolina(7/6/2022)
RR
Texas(3/16/2010)
IAR
Texas(5/12/2020)
IAR
Utah(5/25/2021)
IAR
Virginia(3/8/2016)
RR
Washington(3/16/2010)
IAR
Washington(5/25/2021)
IAR
Wisconsin(5/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JL
J.DEREK LEWIS & ASSOCIATES, INC.
J.DEREK LEWIS & ASSOCIATES, INC.
CRD#: 122307 / SEC#: 801-67339
RIA
Registered Investment Advisory firm - (12/4/2006 Approved)California
Registered Investment Advisory firm - (12/12/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1001 Dove Street Suite 155, Newport Beach, CA 92660-2820
Mailing Address
Phone number
(949) 752-9096
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,459 |
| AUM (Assets Under Management) | $ 1,782,416,346 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
