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Richard Edward Dobronsky Jr

CRD# 1841837·Registered 1990 - 2014
Previously Registered: Being a previously registered professional could mean that Richard 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

Richard Edward Dobronsky JR, who also goes by Richard Edward Dobronsky, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1990 - 2014. Richard had worked at 5 firms and has passed the Series 63, Series 55, Series 7 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

Richard Edward Dobronsky

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

35 years in the financial services industry

Current & Past Employments

XFA SECURITIES, LLC·CRD# 147909
BD
Chicago, IL
July 23, 2013 - February 3, 2014
J.P. MORGAN SECURITIES INC.·CRD# 18718
BD
New York, NY
July 31, 2008 - October 1, 2008
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
New York, NY
May 2, 1997 - August 23, 2012
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
May 30, 1995 - April 28, 1997
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
November 19, 1993 - July 25, 1994
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
December 10, 1990 - September 27, 1993

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Current Firm

XS
XFA SECURITIES, LLC

EXOS SECURITIES, LLC | XFA SECURITIES, LLC

CRD#: 147909 / SEC#: 8-67939
BD
Terminated by SEC on 07/29/2014

Contact Information

Established

Delaware since 06/02/2008

Firm Type

Limited Liability Company

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
XFA HOLDINGS, LLCMANAGING MEMBER—
DULLANTY, JAMES MICHAELMUNICIPAL PRINCIPAL—
FITZGERALD, WILLIAM EDWARDFINOP AND CFO1156792
LYNN, EDWARD CHARLESCEO1215582
STAFFORD, GEORGE F JRCCO1193620

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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.

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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 63 — Uniform Securities Agent State Law Examination

Passed May 1997About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Dec 1999

Series 7 — General Securities Representative Examination

Passed Dec 1990About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 2010About 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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