Keith D. Dunn

JOHNSON DUNN CAPITAL ADVISORS

Palm Harbor, FL 34684

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CRD#: 861857

Professional summary

Keith Duane Dunn is a registered financial advisor currently at JOHNSON DUNN CAPITAL ADVISORS, INC. located in Palm Harbor, Florida.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Keith has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 5, Series 7 and Series 24 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Duane 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

June 16, 2022 - Present

JOHNSON DUNN CAPITAL ADVISORS, INC.

Office #1: 36750 Us 19 North Innisbrook #2354, Palm Harbor, FL 34684

RIA

CRD#: 320849

Palm Harbor, FL

Past

July 26, 2010 - June 24, 2022

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

TARPON SPRINGS, FL

Past

July 15, 2010 - June 24, 2022

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

TARPON SPRINGS, FL

Past

June 1, 2009 - July 22, 2010

MORGAN STANLEY

RIA

CRD#: 149777

PORT RICHEY, FL

Past

June 1, 2009 - July 22, 2010

MORGAN STANLEY

CRD#: 149777

PORT RICHEY, FL

Past

March 1, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PORT RICHEY, FL

Past

March 1, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PORT RICHEY, FL

Past

February 1, 1979 - March 11, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

JOHNSON DUNN CAPITAL ADVISORS, INC.

DUNN CAPITAL ADVISORS | JOHNSON DUNN CAPITAL ADVISORS, INC. | DUNN CAPITAL ADVISORS, INC.

CRD#: 320849 / SEC#: 801-125028

RIA

Registered Investment Advisory firm - (5/25/2022 Approved)

Texas

Registered Investment Advisory firm - (1/3/2023 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

Florida
(6/23/2022)

IAR

Texas
(6/16/2022)

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: 8/12/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/22/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/4/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 5

Date: 11/13/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 1/20/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/4/2012

General Securities Principal Examination

Current Firm

JOHNSON DUNN CAPITAL ADVISORS, INC.

DUNN CAPITAL ADVISORS | JOHNSON DUNN CAPITAL ADVISORS, INC. | DUNN CAPITAL ADVISORS, INC.

CRD#: 320849 / SEC#: 801-125028

RIA

Registered Investment Advisory firm - (5/25/2022 Approved)

Texas

Registered Investment Advisory firm - (1/3/2023 Terminated)

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Contact information

Main Address

Palm Harbor, FL

Mailing Address

Phone number

(727) 808-9936

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JOHNSON DUNN CAPITAL ADVISORS BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	182
AUM (Assets Under Management)	$ 136,428,000

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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Advisor Monitoring

Firm Stability Insights

Keith D. Dunn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Duane Dunn's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

JOHNSON DUNN CAPITAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/12/1994

Series 63

Date: 7/22/1983

SIE

Date: 10/1/2018

Series 31

Date: 5/4/2006

Series 5

Date: 11/13/1981

Series 7

Date: 1/20/1979

Series 24

Date: 10/4/2012

Current Firm

JOHNSON DUNN CAPITAL ADVISORS, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JOHNSON DUNN CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

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