Douglas L. Dombey
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.
Douglas Lou Dombey was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1982. Douglas had worked at 8 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2010 - March 31, 2020
KESTRA INVESTMENT SERVICES, LLC
September 8, 2009 - March 22, 2010
LPL FINANCIAL LLC
February 5, 2004 - September 8, 2009
MUTUAL SERVICE CORPORATION
February 25, 1998 - December 31, 2003
INVESTORS CAPITAL CORP.
June 20, 1991 - February 26, 1998
WALNUT STREET SECURITIES, INC.
September 7, 1989 - June 21, 1991
GUARDIAN INVESTOR SERVICES LLC
May 26, 1988 - April 4, 1989
JOHN HANCOCK DISTRIBUTORS LLC
August 3, 1987 - February 8, 1988
E. F. HUTTON & COMPANY INC
December 7, 1982 - April 4, 1989
JOHN HANCOCK DISTRIBUTORS LLC
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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