JD
JD
Joshua Dunn
28 Years of Experience
West Hartford, CT
2 DisclosuresBroker
Joshua Dunn is a registered investment advisor at Raymond James & Associates, INC., based in West Hartford, CT, with 28 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
West Hartford, CT
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Regulatory History (2)
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Financial
August 2017Final
Customer Dispute
July 2006Settled
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 7 mos
Raymond James & Associates, INC.Broker
February 2018 - Present · 8 yrs 7 mos
Raymond James & Associates, INC.
February 2018 - Present · 8 yrs 7 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 Registrations20 states
ALAZCACOCTFLGAIDINMAMDMEMSNCNYORRITXVAVT
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.