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DG

Dorothy L. Gibbens

STARTENGINE PRIMARY LLC
Burbank, CA 91505
Some features on this profile are disabled
CRD#: 1192309
DG

Professional summary

Dorothy Lynn Gibbens, who also goes by Dot Gibbens, is a registered financial professional currently at STARTENGINE PRIMARY LLC located in Burbank, California.

Dorothy is registered as a RR (Registered Representative) and started their career in finance in 1986. Dorothy has worked at 10 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 4, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dot Gibbens

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dorothy Lynn Gibbens's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 21, 2020 - Present

STARTENGINE PRIMARY LLC

Office #1: 4100 W Alameda Avenue 3rd Floor, Burbank, CA 91505
BD
CRD#: 291773
Burbank, CA
Past

January 5, 2022 - October 7, 2025

HAMILTON GRANT LLC

BD
CRD#: 166180
CALABASAS, CA
Past

August 8, 2016 - May 14, 2019

FARMERS FINANCIAL SOLUTIONS, LLC

RIA
CRD#: 103863
Westlake VIllage, CA
Past

August 18, 2014 - May 14, 2019

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
Westlake VIllage, CA
Past

January 4, 2013 - June 10, 2014

MORGAN STANLEY

RIA
CRD#: 149777
WOODLAND HILLS, CA
Past

January 3, 2013 - June 10, 2014

MORGAN STANLEY

BD
CRD#: 149777
WOODLAND HILLS, CA
Past

September 22, 2011 - December 7, 2012

FINANCIAL WEST GROUP

RIA
CRD#: 16668
RENO, NV
Past

August 24, 2006 - December 7, 2012

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

May 19, 2003 - August 3, 2005

PARTNERVEST SECURITIES, INC.

BD
CRD#: 104134
SANTA BARBARA, CA
Past

October 27, 1997 - December 31, 2001

AMERICAN CENTURY BROKERAGE, INC.

BD
CRD#: 42846
KANSAS CITY, MO
Past

July 14, 1994 - August 15, 1997

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

April 25, 1992 - June 28, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 1, 1987 - April 2, 1992

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

August 19, 1986 - April 6, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/21/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/4/1998
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/29/1998
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 1/20/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

SP
STARTENGINE PRIMARY LLC
STARTENGINE PRIMARY LLC

CRD#: 291773 / SEC#: , 8-70060

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
4100 W Alameda Avenue 3rd Floor, Burbank, CA 91505
Mailing Address
4100 W Alameda Avenue 3rd Floor, Burbank, CA 91505
Phone number
(800) 469-5785
Established
Delaware since 10/12/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STARTENGINE CROWDFUNDING INC.SOLE SHAREHOLDER
MARKS, HOWARD EDWARDCEO6617096
REYES, JONATHAN ALEXANDERCCO6654501
STRASSMAN, HUNTER DALLASFINOP6867203

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.

Company Information

STARTENGINE PRIMARY LLC

CRD#: 291773Burbank, CA 91505

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