CD
Christopher J. Dobson
GMS GROUP
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2442478
CD
Professional summary
Christopher James Dobson, who also goes by Chris James Dobson, is a registered financial professional currently at GMS GROUP located in Boca Raton, Florida.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1994. Christopher has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris James Dobson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Christopher James Dobson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 17, 2024 - Present
GMS GROUP
Office #1: 2600 N Military Trail Suite 400, Boca Raton, FL 33431RIA
BD
CRD#: 8000
Boca Raton, FL
Past
May 4, 2022 - December 11, 2023
ZEUS FINANCIAL, LLC
BD
CRD#: 18192
BOCA RATON, FL
Past
February 9, 2022 - March 18, 2022
ZEUS FINANCIAL, LLC
BD
CRD#: 18192
BOCA RATON, FL
Past
January 21, 2015 - August 17, 2021
FIRST LIBERTIES FINANCIAL
BD
CRD#: 14432
Newport Beach, CA
Past
May 1, 2013 - February 6, 2015
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
FLORHAM PARK, NJ
Past
July 31, 2012 - May 3, 2013
FIRST LIBERTIES FINANCIAL
BD
CRD#: 14432
SAN CLEMENTE, CA
Past
July 7, 2011 - March 28, 2012
MPS FIXED INCOME LLC
BD
CRD#: 154096
NEW YORK, NY
Past
January 19, 2010 - March 28, 2012
FIRST NEW YORK SECURITIES L.L.C.
BD
CRD#: 16362
BOCA RATON, FL
Past
January 3, 2008 - December 23, 2009
PALI CAPITAL, INC.
BD
CRD#: 117783
BOCA RATON, FL
Past
August 29, 1996 - October 26, 2007
FINANCE 500, INC.
BD
CRD#: 12981
IRVINE, CA
Past
August 22, 1996 - December 31, 1998
FINANCE 500, INC.
BD
CRD#: 12981
Past
May 2, 1994 - September 10, 1996
SAN CLEMENTE SECURITIES, INC.
BD
CRD#: 21895
SAN CLEMENTE, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GMS GROUP
GMS GROUP | THE GMS GROUP, LLC | THE GMS GROUP, L.L.C. | THE G.M.S. GROUP, L.L.C. | THE G.M.S. GROUP, INC. | MOORE & SCHLEY MUNICIPALS, INC.
CRD#: 8000 / SEC#: 801-126662, 8-23936
RIA
Registered Investment Advisory firm - SEC (11/22/2022 Approved)Texas
Registered Investment Advisory firm - SEC (1/8/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(4/24/2024)
RR
Nebraska(3/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
GMS GROUP
GMS GROUP | THE GMS GROUP, LLC | THE GMS GROUP, L.L.C. | THE G.M.S. GROUP, L.L.C. | THE G.M.S. GROUP, INC. | MOORE & SCHLEY MUNICIPALS, INC.
CRD#: 8000 / SEC#: 801-126662, 8-23936
RIA
Registered Investment Advisory firm - SEC (11/22/2022 Approved)Texas
Registered Investment Advisory firm - SEC (1/8/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936
Mailing Address
120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936
Phone number
(973) 535-5000
Established
Delaware since 03/05/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
15
SEC notice filing (2 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GMS GROUP HOLDINGS CORP | MEMBER | |
| CAPONE, CARMINE CLAUDIO | EXECUTIVE VICE PRESIDENT/DIRECTOR | 1124455 |
| DEMBOWSKI, DANIELLE DENISE | CHIEF FINANCIAL OFFICER | 5855269 |
| DONOHUE, TIMOTHY JOSEPH | SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO | 725373 |
| DONOHUE, TIMOTHY JOSEPH | PRESIDENT | 725373 |
| ESTANISLAO, LEONARDO | CHIEF INFORMATION OFFICER/SENIOR VICE PRESIDENT/DIRECTOR | 4622553 |
| FELDMAN, JUSTYN SETH | SENIOR VICE PRESIDENT - DIRECTOR | 2283535 |
| FELDMAN, MELVIN | DIRECTOR, SR VICE PRESIDENT | 205924 |
| KONSIG, PAUL ROBERT | CEO | 500443 |
| KONSIG, PAUL ROBERT | DIRECTOR | 500443 |
| KOROSTOFF, DAVID BRUCE | DIRECTOR, SR. VICE PRESIDENT | 1205712 |
| LENZI, JEFFREY PAUL | SENIOR VICE PRESIDENT/DIRECTOR | 2452390 |
| LIPMAN, MATTHEW ERIC | SECRETARY | 2367335 |
| MANTE, PAUL DAVID | SENIOR VICE PRESIDENT - DIRECTOR | 4911949 |
| MCKENNA, MICHAEL JAMES | EXECUTIVE VICE PRESIDENT | 1524460 |
| PRICE, BARBARA BENEDICT | DIRECTOR, SR. VICE PRESIDENT | 17944 |
| VESSELS, STEPHEN GLENN | SENIOR VICE PRESIDENT/DIRECTOR | 2403660 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 13,887,060 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 10 |
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.
Company Information
GMS GROUP
CRD#: 8000Boca Raton, FL 33431TRUST BUT VERIFY
Monitor Christopher Dobson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
