Dorothy L. Broadhead
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 Louise Broadhead, who also goes by Dorothy Broadhead Weimer, Dottie Weimer, was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1989. Dorothy had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 27 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
February 2, 2019 - October 30, 2025
TRUEWEALTH ADVISORS, LLC
September 10, 2001 - December 31, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 15, 2000 - December 31, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 13, 1993 - June 12, 2000
FSC SECURITIES CORPORATION
July 19, 1989 - August 7, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
Primary Firm SEC Registration
TRUEWEALTH ADVISORS, LLC
CRD#: 298838 / SEC#: 801-114236
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
TRUEWEALTH ADVISORS, LLC
CRD#: 298838 / SEC#: 801-114236
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,439 |
| AUM (Assets Under Management) | $ 438,937,842 |
Red Flags
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