Lee A. Dorado
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.
Lee Ann Dorado, who also goes by Lee Ann Tollefson, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1986. Lee had worked at 12 firms and has passed the Series 63, SIE 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
October 14, 2015 - November 22, 2016
KMS FINANCIAL SERVICES, INC.
December 12, 2012 - October 14, 2013
NATIONAL PLANNING CORPORATION
March 17, 2008 - December 14, 2010
MML INVESTORS SERVICES, LLC
October 27, 2004 - August 8, 2006
OSAIC FS, INC.
July 25, 2001 - November 4, 2002
FSC SECURITIES CORPORATION
May 21, 1999 - July 28, 1999
MML INVESTORS SERVICES, LLC
August 31, 1998 - May 17, 1999
CADARET, GRANT & CO., INC.
March 23, 1995 - September 10, 1996
SECURITIES AMERICA, INC.
August 14, 1992 - April 14, 1993
OAK TREE SECURITIES, INC.
June 6, 1990 - October 31, 1990
KAVANAUGH SECURITIES, INC.
November 3, 1988 - December 19, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
April 10, 1987 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
March 21, 1986 - April 15, 1987
LINCOLN FINANCIAL DISTRIBUTORS, 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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
