Dorothy A. Muse
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.
Dorothy Anned Muse MS, who also goes by Dorothy Anned Bruton, Dorothy Anned Judkins, Anned Muse, Dorothy Anned Muse, was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1985. Dorothy had worked at 10 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
April 2, 2012 - July 10, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 2, 2012 - July 10, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 26, 2006 - April 2, 2012
SANDERS MORRIS LLC
November 5, 2002 - December 31, 2006
SMH CAPITAL ADVISORS LLC
February 1, 2000 - April 2, 2012
SANDERS MORRIS LLC
May 17, 1994 - February 1, 2000
HARRIS WEBB & GARRISON, INC.
November 10, 1993 - June 16, 1994
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
May 4, 1989 - November 12, 1993
GROVE POINT INVESTMENTS, LLC
November 2, 1988 - April 22, 1989
CAREY JAMISON & COMPANY
June 9, 1987 - October 31, 1988
HIBBARD BROWN & CO., INC.
May 9, 1985 - June 16, 1987
FIRST SAN ANTONIO SECURITIES, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
