Doreen Dolce
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.
Doreen Dolce, who also goes by Doreen Dolce Holguin, was a registered financial advisor .
Doreen is a previously registered financial advisor and started their career in finance in 1983. Doreen had worked at 7 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2005 - June 8, 2006
FFEC WEALTH PARTNERS LLC
March 6, 2003 - November 15, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 28, 1998 - December 31, 2002
WELLS FARGO CLEARING SERVICES, LLC
April 28, 1998 - November 15, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 6, 1998 - April 28, 1998
WELLS FARGO CLEARING SERVICES, LLC
January 3, 1996 - April 16, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
October 28, 1994 - January 5, 1996
UBS FINANCIAL SERVICES INC.
July 31, 1993 - November 11, 1994
CITIGROUP GLOBAL MARKETS INC.
September 19, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
December 19, 1983 - March 15, 1989
MORGAN STANLEY DW 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
Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
