Douglas R. Dobson
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.
Douglas Randall Dobson, who also goes by Doug Dobson, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2020 - November 12, 2025
MAIN STREET FINANCIAL SOLUTIONS, LLC
August 2, 2019 - July 1, 2020
MAIN STREET FINANCIAL SOLUTIONS, LLC
April 25, 1996 - August 6, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 1996 - August 6, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 15, 1994 - May 2, 1996
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
MAIN STREET FINANCIAL SOLUTIONS, LLC
CRD#: 305834 / SEC#: 801-117871
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
MAIN STREET FINANCIAL SOLUTIONS, LLC
CRD#: 305834 / SEC#: 801-117871
Contact information
SEC notice filing (26 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,091 |
| AUM (Assets Under Management) | $ 2,494,613,000 |
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.
