MD
Monty W. Dossman
DRAWBRIDGE CAPITAL
Tulsa, OK 74136
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CRD#: 1300447
MD
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
01/05/04 - DBA - REGENT FINANCIAL SERVICES, INC. 02/11/04 - INVOLVED AS SECRETARY OF THE BOARD W/ SOUTHERN HILLS BAPTIST CHURCH (DISCONTINUED 03/08/05). 06/29/04 - RIA - REGENT FINANCIAL SERVICES, INC. (DISCONTINUED 12/31/11).
CRS (Client Relationship Summary) - RIA
Click below to view Monty Wayne Dossman's 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®
NoneExperience
Current
December 14, 2023 - Present
DRAWBRIDGE CAPITAL
Office #1: 7134 S.yale Ave Ste 700, Tulsa, OK 74136RIA
CRD#: 128636
Tulsa, OK
Past
April 2, 2021 - January 4, 2022
DRAWBRIDGE CAPITAL
RIA
CRD#: 128636
TULSA, OK
Past
April 28, 2004 - December 31, 2011
DRAWBRIDGE CAPITAL
RIA
CRD#: 128636
TULSA, OK
Past
August 12, 2003 - June 13, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
TULSA, OK
Past
August 8, 2003 - June 13, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
TULSA, OK
Past
November 22, 1996 - August 8, 2003
DOMINION INVESTOR SERVICES, INC.
BD
CRD#: 21548
MARBLE FALLS, TX
Past
February 1, 1994 - November 27, 1996
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
February 3, 1993 - May 4, 1993
CULLUM & SANDOW SECURITIES, INC.
BD
CRD#: 15836
DALLAS, TX
Past
September 5, 1991 - February 9, 1993
ANDREWS, HENTGES & ASSOCIATES, INC.
BD
CRD#: 28417
TULSA, OK
Past
July 16, 1990 - September 5, 1991
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
September 10, 1984 - July 18, 1990
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DC
DRAWBRIDGE CAPITAL
DRAWBRIDGE ASSET MANAGEMENT | REGENT FINANCIAL SERVICES, INC. | REGENT FINANCIAL SERVICES | DRAWBRIDGE CAPITAL, LLC | DRAWBRIDGE CAPITAL
CRD#: 128636 / SEC#: 801-115050
RIA
Registered Investment Advisory firm - (4/22/2019 Approved)Arkansas
Registered Investment Advisory firm - (5/24/2019 Terminated)California
Registered Investment Advisory firm - (6/24/2019 Terminated)Connecticut
Registered Investment Advisory firm - (5/28/2019 Terminated)Florida
Registered Investment Advisory firm - (5/24/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (4/24/2019 Terminated)Texas
Registered Investment Advisory firm - (5/24/2019 Terminated)Virginia
Registered Investment Advisory firm - (5/28/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arkansas(7/3/2024)
IAR
Colorado(7/25/2024)
IAR
Florida(9/17/2024)
IAR
Louisiana(10/10/2024)
IAR
Oklahoma(12/14/2023)
IAR
Texas(6/10/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
DC
DRAWBRIDGE CAPITAL
DRAWBRIDGE ASSET MANAGEMENT | REGENT FINANCIAL SERVICES, INC. | REGENT FINANCIAL SERVICES | DRAWBRIDGE CAPITAL, LLC | DRAWBRIDGE CAPITAL
CRD#: 128636 / SEC#: 801-115050
RIA
Registered Investment Advisory firm - (4/22/2019 Approved)Arkansas
Registered Investment Advisory firm - (5/24/2019 Terminated)California
Registered Investment Advisory firm - (6/24/2019 Terminated)Connecticut
Registered Investment Advisory firm - (5/28/2019 Terminated)Florida
Registered Investment Advisory firm - (5/24/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (4/24/2019 Terminated)Texas
Registered Investment Advisory firm - (5/24/2019 Terminated)Virginia
Registered Investment Advisory firm - (5/28/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7134 S.yale Ave Ste 700, Tulsa, OK 74136
Mailing Address
Phone number
(918) 493-4190
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (7 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 951 |
| AUM (Assets Under Management) | $ 189,926,889 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DRAWBRIDGE CAPITAL
CRD#: 128636Tulsa, OK 74136TRUST BUT VERIFY
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