Steven L. Dobbe

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CRD#: 1630581

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.

Steven Lee Dobbe was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 4, 2012 - November 9, 2023

ANICO FINANCIAL SERVICES, INC.

CRD#: 158883

GALVESTON, TX

Past

March 21, 2000 - September 4, 2012

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

GALVESTON, TX

Past

April 16, 1997 - January 11, 2000

AFD, INC.

CRD#: 34047

NORTHBROOK, IL

Past

June 25, 1996 - September 12, 1996

FIRST VARIABLE CAPITAL SERVICES, INC.

CRD#: 30007

BIRMINGHAM, AL

Past

August 31, 1995 - October 16, 1996

INTERLINK SECURITIES CORP.

CRD#: 30505

WOODLAND HILLS, CA

Past

September 15, 1994 - June 23, 1997

HARBOUR INVESTMENTS, INC.

CRD#: 19258

MADISON, WI

Past

December 1, 1993 - September 14, 1994

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

November 9, 1993 - December 3, 1993

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

July 12, 1990 - November 12, 1993

HARBOUR INVESTMENTS, INC.

CRD#: 19258

MADISON, WI

Past

February 2, 1989 - July 23, 1990

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

June 24, 1987 - February 10, 1988

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 4/28/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/27/1993

General Securities Principal Examination

Current Firm

ANICO FINANCIAL SERVICES, INC.

CRD#: 158883 / SEC#: , 8-68938

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

One Moody Plaza, Suite 1463, Galveston, TX 77550

Mailing Address

One Moody Plaza Suite 1463, Galveston, TX 77550

Phone number

(409) 621-7809

Established

Texas since 12/21/2010

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
AMERICAN NATIONAL INSURANCE COMPANY	DIRECT OWNER
LUIKART, THAD MICHAEL	DIRECTOR, PRESIDENT & CEO	5111050
MERRILL, BRODY JASON	SVP, CFO, FINOP	5450137
WHITE, STACEY LEIGH	AVP, CHIEF COMPLIANCE OFFICER	2721039

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.

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Firm Stability Insights

Steven L. Dobbe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES MANAGEMENT & RESEARCH, INC.

AFD, INC.

FIRST VARIABLE CAPITAL SERVICES, INC.

INTERLINK SECURITIES CORP.

HARBOUR INVESTMENTS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

SECURITIES AMERICA, INC.

HARBOUR INVESTMENTS, INC.

SII INVESTMENTS, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/28/1987

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1987

Series 24

Date: 12/27/1993

Current Firm

ANICO FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ANICO FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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