Robert S. Dokken
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.
Robert Spencer Dokken JR, who also goes by Robert Spencer Dokken, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1983. Robert had worked at 10 firms and has passed the Series 66, Series 65, Series 7 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
November 14, 2005 - December 15, 2005
WESTMINSTER FINANCIAL SECURITIES, INC.
May 5, 2004 - October 20, 2005
OSAIC WEALTH, INC.
April 24, 2003 - May 6, 2004
VOYA FINANCIAL ADVISORS, INC.
March 17, 2003 - May 6, 2004
VOYA FINANCIAL ADVISORS, INC.
February 9, 2002 - March 11, 2003
PARKLAND SECURITIES, LLC
June 1, 1996 - February 9, 2002
WALNUT STREET SECURITIES, INC.
October 31, 1995 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
July 15, 1994 - July 18, 1996
INTEGRATED FINANCIAL PLANNING SERVICES
October 1, 1987 - June 27, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
April 15, 1986 - September 30, 1987
SUNSET FINANCIAL SERVICES, INC.
February 8, 1983 - April 23, 1984
METROPOLITAN LIFE INSURANCE COMPANY
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
WESTMINSTER FINANCIAL SECURITIES, INC.
CRD#: 20677 / SEC#: , 8-38426
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
