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Jonathan R Dunn

LPl Financial LLC

Fort Mill, SC

Stallings, NC

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2025-12-04
NC RA APPROVED 2023-11-17
  • SC RA
    APPROVED
    Since 2025-12-04
  • NC RA
    APPROVED
    Since 2023-11-17

Branch Locations

1055 Lpl Way, Fort Mill, SC 29715 • United States

Stallings, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Vanguard Group Inc. Charlotte NC 12/2014 06/2017
Ubs Financial Services Charlotte NC 06/2017 09/2021
Morgan Stanley Smith Barney Llc Charlotte NC 09/2021 07/2022
Stash Wealth, Llc Charlotte NC 07/2022 09/2022
Unemployed Stallings NC 09/2022 11/2022
Capitol Family Office, Inc. Stallings NC 11/2022 09/2023
Lpl Financial Llc Stallings NC 11/2023 Present
  • 12/2014 → 06/2017
    The Vanguard Group Inc.
    Charlotte, NC
  • 06/2017 → 09/2021
    Ubs Financial Services
    Charlotte, NC
  • 09/2021 → 07/2022
    Morgan Stanley Smith Barney Llc
    Charlotte, NC
  • 07/2022 → 09/2022
    Stash Wealth, Llc
    Charlotte, NC
  • 09/2022 → 11/2022
    Unemployed
    Stallings, NC
  • 11/2022 → 09/2023
    Capitol Family Office, Inc.
    Stallings, NC
  • 11/2023 → Present
    Lpl Financial Llc
    Stallings, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-08-01
S63 Uniform Securities Agent State Law Examination 2016-06-22
  • S65 Uniform Investment Adviser Law Examination
    2017-08-01
  • S63 Uniform Securities Agent State Law Examination
    2016-06-22
Designations
Other Names
  • Jon Dunn
  • Jonathan Dunn
  • Jonathan Richard Dunn

View on SEC IAPD

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CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
EDWARD JONES
SCHWAB WEALTH ADVISORY, INC.
PFS INVESTMENTS INC.

Other Investors

ALPESH JITENDRA PATEL
Tamrah Jennifer Bordini
MATTHEW N WALLEN
RAMIRO IGNACIO PARES
NILDA MELGAREJO DE BOYRIE
STEVEN Samuel SHANEYFELT
Katie Wineski Riegel
Christopher Wayne McAlister

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mill, SC
BELLEAIR WEALTH MANAGEMENT, LLC · Fort Mill, SC
WEALTHCARE ADVISORY PARTNERS LLC · Fort Mill, SC
INSIGHT SECURITIES, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
EDWARD JONES · FORT MILL, SC

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