Jon-wesley A. Davis

CORNERSTONE WEALTH PLANNING

Auburn, ME 04210

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CRD#: 5816745

Professional summary

Jon-wesley Austin Davis, who also goes by Wes Davis, is a registered financial advisor currently at CORNERSTONE WEALTH PLANNING located in Auburn, Maine and LPL FINANCIAL LLC located in Auburn, Maine.

Jon-wesley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Jon-wesley has worked at 3 firms and has passed the Series 66, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wes Davis

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. 1/13/2015 - CORNERSTONE WEALTH PLANNING - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 01/02/2015 - Time Spent 100%. 2. 5/6/2020 - Cornerstone Wealth Planning - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 04/20/2020 - 147 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Cornerstone Wealth Planning, an independent investment advisor firm. I started this business activity in 04/2020. I expect to spend approximately 147 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon-wesley Austin Davis'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®

None

Experience

Current

January 17, 2020 - Present

CORNERSTONE WEALTH PLANNING

Office #1: 79 Main Street, Auburn, ME 04210

RIA

CRD#: 306182

Auburn, ME

Current

February 4, 2015 - Present

LPL FINANCIAL LLC

Office #1: 79 Main St, Auburn, ME 04210-5811

RIA

CRD#: 6413

Auburn, ME

Past

March 16, 2015 - October 8, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

June 29, 2010 - January 12, 2015

LAKE STREET ADVISORS, LLC

RIA

CRD#: 125471

PORTSMOUTH, NH

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

Florida
(3/10/2017)

Maine
(3/16/2015)

IAR

Maine
(1/17/2020)

North Carolina
(3/10/2017)

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 66

Date: 2/20/2015

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/11/2010

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/3/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CORNERSTONE WEALTH PLANNING

CRD#: 306182 / SEC#:

Maine

Registered Investment Advisory firm - (1/17/2020 Approved)

South Carolina

Registered Investment Advisory firm - (1/5/2021 Approved)

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Contact information

Main Address

79 Main Street, Auburn, ME 04210

Mailing Address

Phone number

(207) 376-3160

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	386
AUM (Assets Under Management)	$ 88,021,305

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.

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Jon-wesley A. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon-wesley Austin Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORNERSTONE WEALTH PLANNING

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LAKE STREET ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/20/2015

Series 65

Date: 1/11/2010

SIE

Date: 10/1/2018

Series 7

Date: 2/3/2015

FINRA

Current Firm

CORNERSTONE WEALTH PLANNING

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CORNERSTONE WEALTH PLANNING

TRUST BUT VERIFY

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