Richard O. Cloutier
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 Oliver Cloutier JR, who also goes by Richard Oliver Cloutier Jr., was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 7 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
May 17, 2016 - December 31, 2017
DOBERMAN ASSET MANAGEMENT, LLC
July 18, 2011 - October 14, 2011
INTERNATIONAL ASSETS ADVISORY, LLC
June 8, 2011 - July 18, 2011
A.G.P. / ALLIANCE GLOBAL PARTNERS
July 17, 2008 - July 18, 2011
A.G.P. / ALLIANCE GLOBAL PARTNERS
October 4, 2007 - July 7, 2008
QUEST CAPITAL STRATEGIES, INC.
February 4, 1997 - May 12, 1997
NORTHEAST SECURITIES, LLC
August 7, 1996 - February 13, 1997
INVESTACORP, INC.
January 24, 1996 - July 9, 1996
WACHOVIA SECURITIES, INC.
June 18, 1992 - July 1, 1994
MORGAN STANLEY DW 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
Current Firm
DOBERMAN ASSET MANAGEMENT, LLC
CRD#: 283623 / SEC#:
Contact information
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.
