Ferdinand R. Dosono
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.
Ferdinand Rame Dosono was a registered financial professional .
Ferdinand is a previously registered financial professional and started their career in finance in 1991. Ferdinand had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2013 - November 30, 2016
SCF INVESTMENT ADVISORS, INC.
November 1, 2013 - November 30, 2015
SCF SECURITIES, INC.
April 9, 2013 - November 1, 2013
B. RILEY WEALTH ADVISORS, INC.
November 5, 2007 - October 26, 2009
B. RILEY WEALTH ADVISORS, INC.
June 28, 2007 - November 1, 2013
NATIONAL SECURITIES CORPORATION
June 2, 2006 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
March 23, 2006 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
January 9, 2002 - February 1, 2006
PRUCO SECURITIES, LLC.
April 11, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 11, 1991 - February 1, 2006
PRUCO SECURITIES, LLC.
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
SCF INVESTMENT ADVISORS, INC.
CRD#: 123608 / SEC#: 801-71206
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,190 |
| AUM (Assets Under Management) | $ 1,349,597,453 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 06/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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