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Ann Ray Dotson

CRD# 1823608·Registered 1988 - 2018
Previously Registered: Being a previously registered professional could mean that Ann 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.

Professional Summary

Ann Ray Dotson, who also goes by Ann R. Dotson, Ann Dotson, Anna Katherine Dotson, was a registered financial advisor. Ann was a previously registered financial professional and started their career in finance 1988 - 2018. Ann had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 51 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ann R. Dotson, Ann Dotson, Anna Katherine Dotson

Blog Corner

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

38 years in the financial services industry

Current & Past Employments

RETIREMENT RESOURCES MANAGEMENT, LLC·CRD# 150391
RIA
Franklin, TN
October 14, 2009 - December 31, 2018
PLANMEMBER SECURITIES CORPORATION·CRD# 11869
RIA
Franklin, TN
January 23, 2007 - August 26, 2009
PLANMEMBER SECURITIES CORPORATION·CRD# 11869
BD
Franklin, TN
January 22, 2007 - August 26, 2009
PRIVATE CLIENT SERVICES, LLC·CRD# 120222
RIA
Franklin, TN
September 28, 2004 - January 24, 2007
WOODBURY FINANCIAL SERVICES, INC.·CRD# 421
RIA
Franklin, TN
September 24, 2004 - January 24, 2007
WOODBURY FINANCIAL SERVICES, INC.·CRD# 421
BD
Franklin, TN
September 10, 2004 - January 24, 2007
GROVE POINT INVESTMENTS, LLC·CRD# 1763
RIA
Franklin, TN
March 1, 2004 - September 13, 2004
GROVE POINT INVESTMENTS, LLC·CRD# 1763
BD
Rockville, MD
June 27, 1996 - September 13, 2004
GROVE POINT INVESTMENTS, LLC·CRD# 1763
BD
June 5, 1996 - June 27, 1996
IFG NETWORK SECURITIES, INC.·CRD# 19948
BD
Atlanta, GA
January 1, 1996 - June 10, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.·CRD# 22710
BD
September 22, 1989 - January 1, 1996
SUNAMERICA SECURITIES, INC.·CRD# 20068
BD
Phoenix, AZ
June 18, 1989 - September 28, 1989
SOUTHMARK FINANCIAL SERVICES, INC.·CRD# 6518
BD
December 5, 1988 - June 18, 1989
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
April 19, 1988 - December 15, 1988

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Current Firm

RR
RETIREMENT RESOURCES MANAGEMENT, LLC

RETIREMENT RESOURCES MANAGEMENT | RETIREMENT RESOURCES MANAGEMENT, LLC

CRD#: 150391

Contact Information

Main Address

Franklin, TN

Documents

Latest Form ADV

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1988About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1988About the Series 7 exam

Series 51 — Municipal Fund Securities Principal Examination

Passed Jun 2003About the Series 51 exam

Series 24 — General Securities Principal Examination

Passed Mar 1989About the Series 24 exam

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CRS (Client Relationship Summary)

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

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