Robert G. Dorsey
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.
Robert George Dorsey was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 26 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2000 - August 5, 2019
ULTIMUS FUND DISTRIBUTORS, LLC
January 5, 1999 - March 21, 1999
IFS FUND DISTRIBUTORS, INC.
August 30, 1989 - December 31, 1998
W&S BROKERAGE SERVICES, INC.
June 30, 1987 - December 22, 1994
LESHNER FINANCIAL SERVICES, INC.
April 29, 1987 - July 13, 1987
W&S BROKERAGE SERVICES, 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
ULTIMUS FUND DISTRIBUTORS, LLC
CRD#: 104177 / SEC#: , 8-52643
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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