Garrett J. Dombrowski
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.
Garrett James Dombrowski, who also goes by Garry Dombrowski, was a registered financial professional .
Garrett is a previously registered financial professional and started their career in finance in 1989. Garrett had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2009 - May 8, 2015
C. L. KING & ASSOCIATES, INC.
November 30, 2007 - June 9, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 23, 2000 - November 30, 2007
RYAN BECK & CO.
June 29, 1998 - June 13, 2000
UBS SECURITIES LLC
July 22, 1996 - June 29, 1998
SBC WARBURG DILLON READ INC.
August 28, 1990 - July 24, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 1989 - February 15, 1990
J. T. MORAN & CO., INC.
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
Series 8
Date: 9/5/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
C. L. KING & ASSOCIATES, INC.
CRD#: 6183 / SEC#: , 8-17025
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEIR, CANDACE KING | PRESIDENT/DIRECTOR, CEO | 269796 |
| WEIR, AMELIA FARLEY | SHAREHOLDER | 1497338 |
| WEIR, KATHERINE BROUSSARD | SHAREHOLDER | 1497339 |
| GIMON, RICHARD JAMES | CHIEF COMPLIANCE OFFICER, DIRECTOR | 3217139 |
| MCMILLEN, PETER JOHN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2061930 |
| ZORIC, STEVEN | COO | 4074487 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
| Bond | 1 |
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.
