Charles C. Dobson

DOBSON ASSET MANAGEMENT LLC

Portland, OR 97212

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CRD#: 1172642

Professional summary

Charles Case Dobson, CFP®, who also goes by Charlie Dobson, is a registered financial advisor currently at DOBSON ASSET MANAGEMENT LLC located in Portland, Oregon.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Charles has worked at 6 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charlie Dobson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I am also employed by Avalon Trust. Avalon Trust is an investment related business. The address is 125 Lincoln Avenue, Suite 301, Santa Fe, New Mexico, 87501. Avalon Trust is a trust company, regulated under the laws of New Mexico. My position is Sr. Vice President, and I began my relationship with Avalon Trust in September of 2016. I devote 60 hours a month to my work at Avalon Trust, about 40 of these hours come during securities trading hours. My duties primarily involve relationship management.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Case Dobson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1991

Experience

Current

March 4, 2022 - Present

DOBSON ASSET MANAGEMENT LLC

Office #1: 1306 Nw Hoyt St Suite 408, Portland, OR 97212

RIA

CRD#: 315281

Portland, OR

Past

April 13, 2011 - November 23, 2016

DOBSON ASSET MANAGEMENT, INC.

RIA

CRD#: 131077

PORTLAND, OR

Past

May 20, 1996 - December 31, 2004

DOBSON ASSET MANAGEMENT

RIA

CRD#: 112079

PORTLAND, OR

Past

May 3, 1994 - February 21, 1996

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

August 12, 1983 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

August 12, 1983 - May 5, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Oregon
(3/4/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/8/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/6/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 8/11/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DOBSON ASSET MANAGEMENT LLC

DOBSON ASSET MANAGEMENT | DOBSON ASSET MANAGEMENT OREGON | DOBSON ASSET MANAGEMENT LLC

CRD#: 315281 / SEC#:

Oregon

Registered Investment Advisory firm - (3/4/2022 Approved)

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Contact information

Main Address

5200 S Macadam Ave. Suite 320, Portland, OR 97239

Mailing Address

Phone number

(503) 417-3481

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	89
AUM (Assets Under Management)	$ 75,000,000

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.

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Charles C. Dobson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Case Dobson's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOBSON ASSET MANAGEMENT LLC

DOBSON ASSET MANAGEMENT, INC.

DOBSON ASSET MANAGEMENT

CETERA ADVISORS LLC

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/8/1983

Series 7

Date: 2/15/1986

Series 22

Date: 10/6/1983

Series 6

Date: 8/11/1983

Current Firm

DOBSON ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DOBSON ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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