Leo J. Dolan
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.
Leo Joseph Dolan JR, who also goes by Lee Dolan Jr, Leo J Dolan Jr, was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 1994. Leo had worked at 3 firms and has passed the Series 63, SIE, 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
March 14, 2003 - January 2, 2019
BRINKER CAPITAL SECURITIES, LLC
December 14, 2001 - October 17, 2002
INVESTOR FORCE SECURITIES, INC.
March 17, 1994 - December 21, 2001
SEI INVESTMENTS DISTRIBUTION CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BRINKER CAPITAL SECURITIES, LLC
CRD#: 38123 / SEC#: , 8-48110
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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