Richard B. Dole
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.
Richard Bruce Dole was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 28, Series 4, 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
September 1, 1998 - March 9, 2016
DOLE CAPITAL, LLC
November 25, 1994 - September 10, 1997
FRY & CO., INC.
May 13, 1991 - November 4, 1994
FIRST HONOLULU SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 8/3/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
DOLE CAPITAL, LLC
CRD#: 44210 / SEC#: , 8-50574
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
