Richard Thomas Dunnett
Investment Adviser Representative at Prosperity Capital Advisors
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Richard Thomas Dunnett is an investment adviser representative with Prosperity Capital Advisors in Schererville, IN, where they have been registered since 2019. They have worked in the securities industry since 2006 and were previously registered with Morgan Stanley. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Illinois and Indiana.
Office
Advisors at this office: 5
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Illinois, Indiana
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Morgan StanleyJul 2013 – Apr 2018Orland Park, IL
- Morgan Stanley Private BANK, N.A.Jan 2015 – Apr 2018New York, NY
- Mercap Securities, LLCNov 2018 – Nov 2020Paoli, PA
- Hammer Financial Group (d.b.a. for advisory business)Jan 2019 – no end date reportedSchererville, IN
- C2P Capital Advisory Group, LLC dba Prosperity Capital AdvisorsFeb 2019 – no end date reportedWestlake, OH
- TransamericaJun 2018 – Oct 2018Schererville, IN
- Innovation Partners LLCOct 2020 – Jan 2025Charlotte, NC
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Prosperity Capital Advisors
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $1,000 (waivable)
- $0 - $499,9990.50%
- $500,000 - $999,9990.40%
- $1,000,000 - $1,999,9990.30%
- $2,000,000 - $4,999,9990.25%
+1 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 105
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Westlake, OH
- SEC file number:
- 801-72187
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 23, 2026
View full firm profileOther advisors at Prosperity Capital Advisors
Showing 12 of 105 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard Thomas Dunnett has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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