Richard Thomas Dunnett

Current Employers

Prosperity Capital Advisors

30400 Detroit Road Suite 201, Westlake, OH 44145 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2022-08-19
IN	RA	APPROVED	2019-02-13

IL RA
APPROVED

Since 2022-08-19
IN RA
APPROVED

Since 2019-02-13

Branch Locations

222 Indianapolis Blvd Suite 201, Schererville, IN 46375 • United States

30400 Detroit Road Suite 201, Westlake, OH 44145 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley	Orland Park	IL	07/2013	04/2018
Morgan Stanley Private Bank, N.A.	New York	NY	01/2015	04/2018
Mercap Securities, Llc	Paoli	PA	11/2018	11/2020
Hammer Financial Group (D.b.a. For Advisory Business)	Schererville	IN	01/2019	Present
C2P Capital Advisory Group, Llc Dba Prosperity Capital Advisors	Westlake	OH	02/2019	Present
Transamerica	Schererville	IN	06/2018	10/2018
Innovation Partners Llc	Charlotte	NC	10/2020	01/2025

07/2013 → 04/2018

Morgan Stanley

Orland Park, IL
01/2015 → 04/2018

Morgan Stanley Private Bank, N.A.

New York, NY
11/2018 → 11/2020

Mercap Securities, Llc

Paoli, PA
01/2019 → Present

Hammer Financial Group (D.b.a. For Advisory Business)

Schererville, IN
02/2019 → Present

C2P Capital Advisory Group, Llc Dba Prosperity Capital Advisors

Westlake, OH
06/2018 → 10/2018

Transamerica

Schererville, IN
10/2020 → 01/2025

Innovation Partners Llc

Charlotte, NC

Previous Registrations

2013-08-21 → 2018-04-13

Morgan Stanley

Orland Park, IL

Other Businesses

1) Mr. Dunnett is a licensed insurance agent conducting business from his registered location. In this capacity, he may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, he may receive other compensation such as fixed life trails. Mr. Dunnett spends approx. 10 hrs/week during trading hours on this activity. 2) Mr. Dunnett works with the local chapter of the American Financial Education Alliance (AFEA). Mr. Dunnett conducts several seminars per month to help eliminate financial illiteracy as part of his marketing efforts. Mr. Dunnett spends approximately 3-5 hours per month on this activity during non-trading hours. There are no product sales or company names mentioned at these seminars.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-08-20
S63	Uniform Securities Agent State Law Examination	2011-04-11

S65 Uniform Investment Adviser Law Examination

2013-08-20
S63 Uniform Securities Agent State Law Examination

2011-04-11

Other Names

Richard Thomas Dunnett
Richard Thomas Dunnett

View on SEC IAPD