John W. Tonissen

HOBART WEALTH

Charlotte, NC 28277

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CRD#: 811126

Professional summary

John Wallace Tonissen JR, who also goes by Jock Tonissen, is a registered financial advisor currently at HOBART WEALTH located in Charlotte, North Carolina.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. John has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jock Tonissen

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)INDEPENDENT INSURANCE AGENT WITH NAVIGATOR FINANCIAL INC. SELLING DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LTC & GROUP 10HRS/WK SINCE 10/1971; (2) HOBART PRIVATE CAPITAL; SOLICITOR, 7733 BALLANTYNE COMMONS PARKWAY, STE 101, CHARLOTTE NC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Wallace Tonissen JR'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

April 4, 2016 - Present

HOBART WEALTH

Office #1: 7733 Ballantyne Commons Parkway Suite 101, Charlotte, NC 28277

RIA

CRD#: 168494

Charlotte, NC

Past

May 10, 2019 - January 3, 2022

CAPE SECURITIES INC.

CRD#: 7072

CHARLOTTE, NC

Past

August 20, 2013 - November 29, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

CHARLOTTE, NC

Past

August 20, 2013 - April 17, 2019

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

CHARLOTTE, NC

Past

December 31, 2001 - October 1, 2013

IFG RUSSELL ADVISORS INC

RIA

CRD#: 108677

CHARLOTTE , NC

Past

December 31, 2001 - October 1, 2013

AMERICAN FINANCIAL MANAGEMENT GROUP, LTD.

RIA

CRD#: 119449

CHARLOTTE , NC

Past

March 11, 1996 - August 20, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

CHARLOTTE, NC

Past

March 1, 1996 - August 7, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

CHARLOTTE, NC

Past

October 27, 1995 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Past

November 19, 1989 - March 4, 1996

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

November 9, 1982 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

August 15, 1975 - December 31, 1990

G. R. PHELPS & CO., INC.

CRD#: 173

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".

HOBART WEALTH

HOBART PRIVATE CAPITAL, LLC | HOBART WEALTH

CRD#: 168494 / SEC#: 801-107338

RIA

Registered Investment Advisory firm - (2/29/2016 Approved)

North Carolina

Registered Investment Advisory firm - (7/27/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(4/4/2016)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/6/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/19/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 8/11/1975

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/16/2000

General Securities Principal Examination

Current Firm

HOBART WEALTH

HOBART PRIVATE CAPITAL, LLC | HOBART WEALTH

CRD#: 168494 / SEC#: 801-107338

RIA

Registered Investment Advisory firm - (2/29/2016 Approved)

North Carolina

Registered Investment Advisory firm - (7/27/2016 Terminated)

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Contact information

Main Address

7733 Ballantyne Commons Parkway Suite 101, Charlotte, NC 28277

Mailing Address

Phone number

(888) 553-0122

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOBART PRIVATE CAPITAL FIRM BROCHURE (8/6/2025)

Regulatory assets under management

Total Number of Accounts	1,891
AUM (Assets Under Management)	$ 429,701,468

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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Firm Stability Insights

John W. Tonissen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Wallace Tonissen JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPE SECURITIES INC.

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

G.F. INVESTMENT SERVICES, LLC

IFG RUSSELL ADVISORS INC

AMERICAN FINANCIAL MANAGEMENT GROUP, LTD.

WALNUT STREET SECURITIES, INC.

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

HOBART WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 11/6/1996

Series 63

Date: 10/19/1982

SIE

Date: 10/1/2018

Series 7

Date: 1/15/1983

Series 1

Date: 8/11/1975

Series 24

Date: 3/16/2000

Current Firm

HOBART WEALTH

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOBART WEALTH

TRUST BUT VERIFY

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