Monty Wayne Dossman
Professional Summary
Monty Wayne Dossman is a registered financial advisor currently at DRAWBRIDGE CAPITAL located in Tulsa, Oklahoma. Monty is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Monty has worked at 8 firms and has passed the Series 63, Series 65, Series 7, Series 6, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
DRAWBRIDGE ASSET MANAGEMENT | REGENT FINANCIAL SERVICES, INC. | REGENT FINANCIAL SERVICES | DRAWBRIDGE CAPITAL, LLC | DRAWBRIDGE CAPITAL
Contact Information
Main Address
7134 S.yale Ave Ste 700, Tulsa, OK 74136Phone Number
(918) 493-4190# of Employees
10SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
979AUM (Assets Under Management)
$224,592,580Similar Advisors
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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.
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Primary Firm SEC Registration
DRAWBRIDGE ASSET MANAGEMENT | REGENT FINANCIAL SERVICES, INC. | REGENT FINANCIAL SERVICES | DRAWBRIDGE CAPITAL, LLC | DRAWBRIDGE CAPITAL
State Registrations and Notice Filings
(7/3/2024)
(7/25/2024)
(9/17/2024)
(10/10/2024)
(12/14/2023)
(6/10/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1984About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Nov 1986About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Monty Wayne Dossman's CRS (Customer Relationship Summary).
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