Dorothy D. Davis
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.
Dorothy Diane Davis, who also goes by Dorothy Diane Berkstresser, Dorothy Diane Berkstressor, Diane Davis, was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1984. Dorothy had worked at 8 firms and has passed the Series 63, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2008 - August 10, 2009
RETIREMENT PLAN ADVISORS SERVICES, LLC
September 24, 2007 - November 17, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 20, 2006 - April 9, 2007
GPC SECURITIES, INC.
July 27, 2005 - August 29, 2005
WADDELL & REED
July 10, 1998 - August 29, 2003
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 24, 1987 - May 2, 1996
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
August 6, 1984 - July 16, 1987
OPPENHEIMER ASSET MANAGEMENT CORPORATION
January 27, 1984 - March 5, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
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
RETIREMENT PLAN ADVISORS SERVICES, LLC
CRD#: 111392 / SEC#: , 8-53159
Contact information
FINRA licenses (25 States and Territories)
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
