Dorie M. Geniesse
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.
Dorie M Geniesse, who also goes by Dorie Miller, Doris Miller, Doris Ann Millergeniesse, was a registered financial professional .
Dorie is a previously registered financial professional and started their career in finance in 1987. Dorie had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 1988 - March 31, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
October 17, 1988 - November 15, 1988
DAIN RAUSCHER INCORPORATED
January 23, 1987 - October 17, 1988
THE MILWAUKEE COMPANY
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
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
CRD#: 5774 / SEC#: , 8-16458
Contact information
Documents
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.
