Dorothy J. Saulnier
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dorothy Jane Saulnier, who also goes by Dorothy Summerill Saulnier, Dorothy Jane Summerill, was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1982. Dorothy had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2015 - December 31, 2021
CROWN CAPITAL SECURITIES, L.P.
November 9, 2007 - December 31, 2021
CROWN CAPITAL SECURITIES, L.P.
June 1, 2005 - November 1, 2005
CROWN CAPITAL SECURITIES, L.P.
November 16, 1998 - July 7, 2003
SENTRA SECURITIES CORPORATION
November 27, 1996 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
November 22, 1996 - December 31, 2022
FINANCIAL COUNSELING ASSOCIATES LTD.
January 11, 1993 - December 31, 1995
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 28, 1989 - January 18, 1993
CETERA WEALTH SERVICES, LLC
October 5, 1982 - October 23, 1989
TITAN/VALUE EQUITIES GROUP, INC.
February 8, 1982 - November 1, 1982
FINANCIAL PLANNERS EQUITY CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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