Sean A. Dobson
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.
Sean Alan Dobson was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1989. Sean had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 53 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, 2011 - September 26, 2024
AMHERST ADVISORY & MANAGEMENT LLC
March 10, 2000 - October 17, 2014
AMHERST SECURITIES GROUP, L.P.
March 13, 1995 - January 13, 2000
SPIRES FINANCIAL, L.P.
October 20, 1994 - March 13, 1995
PINNACLE FINANCIAL, INC.
April 4, 1994 - November 10, 1994
WESTCAP SECURITIES, L.P.
December 6, 1989 - February 1, 1994
MMAR GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AMHERST ADVISORY & MANAGEMENT LLC
CRD#: 155745 / SEC#: 801-72061
Contact information
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 418,776,058 |
Red Flags
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