Mark L. Dodds
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.
Mark Lee Dodds was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 2 firms and has passed the Series 65, Series 63 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 31, 2009 - November 29, 2018
CAPSTONE CAPITAL WEALTH ADVISORS
February 7, 2005 - December 31, 2008
CAPSTONE CAPITAL WEALTH ADVISORS
August 24, 2000 - December 31, 2003
GREAT AMERICAN INVESTORS, INC.
Primary Firm SEC Registration
CAPSTONE CAPITAL WEALTH ADVISORS
CRD#: 123764 / SEC#: 801-108040
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
CAPSTONE CAPITAL WEALTH ADVISORS
CRD#: 123764 / SEC#: 801-108040
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 537 |
| AUM (Assets Under Management) | $ 360,484,106 |
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.
