Bill D. Dobbs
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.
Bill Dean Dobbs, who also goes by Bill Dean Dobbs II, was a registered financial professional .
Bill is a previously registered financial professional and started their career in finance in 2003. Bill had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2013 - February 13, 2024
GORDON, HASKETT CAPITAL CORPORATION
July 1, 2005 - August 1, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 2003 - July 30, 2003
FIRST NEW YORK SECURITIES L.L.C.
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
GORDON, HASKETT CAPITAL CORPORATION
CRD#: 7976 / SEC#: , 8-33944
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
