TrueAdvisor
TrueAdvisor
JD
JD

Joshua Dunn

Raymond James & Associates, INC.
28 Years of Experience
West Hartford, CT
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Joshua Dunn is a registered investment advisor at Raymond James & Associates, INC., based in West Hartford, CT, with 28 years of industry experience. Joshua is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

433 South Main Street, Suite 325, West Hartford, CT, 06110

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
August 2017
Final
Customer Dispute
July 2006
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joshua is involved with O'Donnell Dunn Productions, producing documentary films. He spends minimal time on this activity.

Employment History
Current Registrations
Raymond James & Associates, INC.
February 2018 - Present · 8 yrs 8 mos
Raymond James & Associates, INC.Broker
February 2018 - Present · 8 yrs 8 mos
Raymond James & Associates, INC.
February 2018 - Present · 8 yrs 8 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - February 2018 · 8 yrs 8 mos
Morgan Stanley
June 2009 - February 2018 · 8 yrs 8 mos
Morgan Stanley & CO. Incorporated
February 2008 - June 2009 · 1 yr 4 mos
Morgan Stanley & CO. IncorporatedBroker
February 2008 - June 2009 · 1 yr 4 mos
Citigroup Global Markets INC.
August 1998 - March 2008 · 9 yrs 7 mos
Citigroup Global Markets INC.Broker
January 1998 - March 2008 · 10 yrs 2 mos
State Registrations21 states
ALAZCACOCTFLGAIDINMAMDMEMSNCNYORRITXUTVAVT
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in West Hartford, CT →All financial advisors in Connecticut →
Joshua Dunn - Financial Advisor | TrueAdvisor