DB
David C. Bundy
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CRD#: 6982613
DB
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Cole Bundy was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2018. David had worked at 1 firm and has passed the Series 65 exam.
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.
1) 8020, LLC 405 STONEGATE DRIVE, NICHOLASVILLE, KY 40356; START 08/2016; POSITION IS GENERAL MANAGER; DUTIES ARE TO MANAGE CASH PAYMENT STREAMS; TIME DEVOTED TO BUSINESS IS 2 HOURS PER MONTH WITH A HALF-HOUR OF THE TIME OCCURRING DURING SECURITIES TRADING HOURS. NATURE OF BUSINESS - INVESTMENT HOLDING COMPANY, HOLDING A PASSIVE INVESTMENT. NOT INVESTMENT RELATED. 2) DEAN DORTON ALLEN FORD, PLLC, 250 W. MAIN STREET, SUITE 1400, LEXINGTON, KY 40507; START 01/2011; POSITION IS PRESIDENT & CEO; NATURE OF BUSINESS CPA AND CONSULTING SERVICES; THE BUSINESS IS NOT INVESTMENT-RELATED; DUTIES INCLUDE OVERSEEING AND MANAGING ALL BUSINESS OPERATIONS OF THE FIRM; 140 HOURS PER MONTH, ALL OF WHICH OCCUR DURING SECURITIES TRADING HOURS. 3) DEAN DORTON HEALTH CARE SOLUTIONS, LLC, 250 W. MAIN STREET, SUITE 1400, LEXINGTON, KY 40507; START 04/2017; POSITION IS MANAGER; NATURE OF BUSINESS IS TO PROVIDE BILLING SERVICES TO PHYSICIAN PRACTICES, MEDICAL OFFICES AND OTHER HEALTHCARE PROVIDERS; THE BUSINESS IS NOT INVESTMENT-RELATED; DUTIES INCLUDE PROVIDING GENERAL OVERSIGHT OF AND SETTING STRATEGIC DIRECTIONS FOR THE COMPANY; 10 HOURS PER MONTH, ALL OF WHICH OCCUR DURING SECURITIES TRADING HOURS. 4) DEAN DORTON & FORD, P.S.C, 250 W. MAIN STREET, SUITE 1400, LEXINGTON, KY 40507; START 07/1999; POSITION IS PRESIDENT; NATURE OF BUSINESS IS TO SERVE AS AN ASSET-HOLDING COMPANY FOR CERTAIN ASSETS USED BY DEAN DORTON ALLEN FORD, PLLC (AFFILIATE) IN ITS ACTIVITIES AS A CPA AND CONSULTING FIRM. THE COMPANY ALSO SERVES AS AN INVESTMENT-HOLDING COMPANY FOR RELATED ENTITIES; THE BUSINESS IS NOT INVESTMENT-RELATED; DUTIES INCLUDE OVERSEEING AND MANAGING THE ASSETS AND INVESTMENTS HELD BY DEAN, DORTON & FORD, P.S.C.; 10 HOURS PER MONTH, ALL OF WHICH OCCUR DURING SECURITIES TRADING HOURS. 5. COTTON AND ALLEN, PSC; 250 W. MAIN STREET, SUITE 1400, LEXINGTON, KY 40507, START 01/2013; PRESIDENT; DEVOTES LESS THAN ONE HOUR PER MONTH, NONE DURING SECURITIES TRADING HOURS; NATURE OF BUSINESS - INVESTMENT HOLDING COMPANY, HOLDING A PASSIVE, DORMANT INVESTMENT. NOT INVESTMENT RELATED.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
August 23, 2018 - December 31, 2024
DEAN DORTON WEALTH MANAGEMENT, LLC
RIA
CRD#: 297616
LEXINGTON, KY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Current Firm
DD
DEAN DORTON WEALTH MANAGEMENT, LLC
DEAN DORTON PRIVATE WEALTH | DEAN DORTON WEALTH MANAGEMENT, LLC
CRD#: 297616 / SEC#:
Indiana
Registered Investment Advisory firm - (10/1/2024 Approved)Kentucky
Registered Investment Advisory firm - (8/23/2018 Approved)North Carolina
Registered Investment Advisory firm - (8/29/2024 Approved)Ohio
Registered Investment Advisory firm - (8/28/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
250 W. Main Street Suite 1400, Lexington, KY 40507
Mailing Address
Phone number
(859) 425-7780
Established
Firm type
Fiscal year end
# of Employees
7
Regulatory assets under management
| Total Number of Accounts | 82 |
| AUM (Assets Under Management) | $ 42,618,891 |
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.
