John Joseph Dunn

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03

NY RA
APPROVED

Since 2021-08-03

Branch Locations

Hyde Park, NY • United States

Disclosures

1 disclosure category 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial	Hyde Park	NY	10/2008	Present

10/2008 → Present

Lpl Financial

Hyde Park, NY

Previous Registrations

1996-10-02 → 2006-09-08

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Kingston, NY

Poughkeepsie, NY

Other Businesses

1. 11/7/2008 - DBA ONLY - HUDSON VALLEY WEALTH MANAGEMENT - HYDE PARK, NY. 2. 3/23/2011 - COMMUNITY, CIVIC AND CHARITABLE BOARD - TOWN OF PLEASANT VALLEY ZONING BOARD OF APPEALS - THIS IS THE SAME ACTIVITY THAT GETS COMPLIANCE APPROVAL EVERY YEAR (PLEASANT VALLEY ZBA), EXCEPT THAT NOW, AS CHAIR, THERE IS A SMALL STIPEND OF ~$2,000.ANNUALLY. - TIME SPENT 1%

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1984-06-05

S63 Uniform Securities Agent State Law Examination

1984-06-05

Other Names

Dunn

View on SEC IAPD