James E. 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.
James Edward Dobbs, CFP®, who also goes by Jim Dobbs, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 4 firms and has passed the Series 63, Series 65, Series 62, Series 22, Series 7, Series 2 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
July 11, 2003 - October 17, 2005
GRAMERCY SECURITIES, INC.
January 8, 2003 - December 13, 2017
DOBBS WEALTH MANAGEMENT GROUP, LLC
May 10, 1996 - October 16, 1998
HARRIS WEBB & GARRISON, INC.
August 21, 1992 - December 31, 1992
PFS INVESTMENTS 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 62
Date: 6/1/2004
Corporate Securities Limited Representative ExaminationSeries 2
Date: 2/9/1996
Non-Member General Securities ExaminationCurrent Firm
GRAMERCY SECURITIES, INC.
CRD#: 8177 / SEC#: , 8-24767
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 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.
