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Dennis William Doht

CRD# 1033237·Registered 1982 - 1987
Previously Registered: Being a previously registered professional could mean that Dennis 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.

Professional Summary

Dennis William Doht was a registered financial advisor. Dennis was a previously registered financial professional and started their career in finance 1982 - 1987. Dennis had worked at 3 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

COOPERATIVE FINANCIAL PLANNERS, LTD.·CRD# 16891
BD
November 21, 1986 - December 31, 1987
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
El Segundo, CA
July 12, 1983 - December 31, 2005
SOUTHMARK FINANCIAL SERVICES, INC.·CRD# 6518
BD
December 21, 1982 - July 25, 1983

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Current Firm

CF
COOPERATIVE FINANCIAL PLANNERS, LTD.

COOPERATIVE FINANCIAL PLANNERS, LTD. | FINANCIAL INSTITUTION LIQUIDITY FUND, LTD.

CRD#: 16891 / SEC#: 8-34672
BD
Terminated by FINRA on 06/23/1988

Contact Information

Established

Oregon since 07/05/1985

Firm Type

Partnership

Documents

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1984About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1982About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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