Arlan E. Dohrmann
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.
Arlan Evans Dohrmann, who also goes by Arlan Evans Dohrman, was a registered financial professional .
Arlan is a previously registered financial professional and started their career in finance in 1983. Arlan had worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2022 - September 22, 2023
STERN BROTHERS & CO.
March 22, 2005 - November 10, 2021
STERN BROTHERS & CO.
March 29, 2001 - February 16, 2005
RAYMOND JAMES & ASSOCIATES, INC.
June 25, 1998 - February 21, 2001
BANC OF AMERICA SECURITIES LLC
April 20, 1995 - January 28, 1998
KFS BD, INC.
May 31, 1994 - April 20, 1995
GEORGE K. BAUM & COMPANY
March 29, 1989 - May 31, 1994
GKB, INC.
August 24, 1983 - March 30, 1989
A. G. EDWARDS & SONS, INC.
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
STERN BROTHERS & CO.
CRD#: 16325 / SEC#: , 8-33724
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| ESSERT, GLENN EDWARD | CHIEF COMPLIANCE OFFICER, AMLCO | 1447868 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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