Philip C. Dotts
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.
Philip Craig Dotts was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1982. Philip had worked at 2 firms and has passed the Series 63, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 1988 - February 5, 2002
BLOUNT PARRISH & COMPANY, INC.
June 26, 1982 - December 22, 1986
FIRST HUNTSVILLE SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BLOUNT PARRISH & COMPANY, INC.
CRD#: 16456 / SEC#: , 8-38665
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
Red Flags
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.
