Dorothy T. Dausend
Professional summary
Dorothy Theresa Dausend is a registered financial professional currently at YORK STOCKBROKERS, INC. located in New York, New York and LEAGUE CAPITAL MARKETS located in New York, New York.
Dorothy is registered as a RR (Registered Representative) and started their career in finance in 1999. Dorothy has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dorothy Theresa Dausend's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 18, 2020 - Present
YORK STOCKBROKERS, INC.
Office #1: 477 Madison Avenue Suite 643, New York, NY 10022December 1, 2022 - Present
LEAGUE CAPITAL MARKETS
Office #1: 1345 Avenue Of The Americas 2nd Floor, New York, NY, 10105September 20, 2017 - November 2, 2022
LEAGUE CAPITAL MARKETS
January 20, 1999 - May 11, 2017
PETER R. MACK & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
(4/22/2025)
(3/9/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
LEAGUE CAPITAL MARKETS
CRD#: 170803 / SEC#: , 8-69432
Contact information
FINRA licenses (14 States and Territories)
Red Flags
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