Dorothy D. Calrow
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.
Dorothy Dominika Calrow, CFP®, who also goes by Dorothy Calrow, Dorothy Contreras, Dorothy Dobrogowski, was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1995. Dorothy had worked at 17 firms and has passed the Series 66, Series 63, Series 7 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
Start date: 2003
Experience
January 15, 2021 - March 1, 2022
VANGUARD MARKETING CORPORATION
December 16, 2020 - March 2, 2022
VANGUARD ADVISERS, INC.
December 3, 2015 - September 22, 2016
LUCIA CAPITAL GROUP
December 1, 2015 - December 14, 2015
LUCIA SECURITIES, LLC
July 28, 2014 - September 3, 2014
PARSONEX ADVISORY SERVICES, INC.
May 12, 2014 - September 3, 2014
PARSONEX SECURITIES, INC.
September 9, 2011 - July 30, 2012
NATIONAL PLANNING CORPORATION
September 7, 2011 - July 30, 2012
NATIONAL PLANNING CORPORATION
August 14, 2006 - September 7, 2010
1ST GLOBAL ADVISORS INC
July 28, 2006 - September 7, 2010
1ST GLOBAL CAPITAL CORP.
April 19, 2004 - June 6, 2006
RJL FINANCIAL NETWORK, L.L.C.
November 6, 2002 - August 2, 2006
RAYMOND J. LUCIA COMPANIES, INC.
September 30, 2002 - August 1, 2006
SECURITIES AMERICA, INC.
May 6, 2002 - September 30, 2002
THE ADVISORS GROUP, INC.
March 13, 2002 - September 30, 2002
THE ADVISORS GROUP, INC.
November 29, 2000 - December 18, 2001
CNR SECURITIES, LLC
July 17, 2000 - August 31, 2000
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 19, 1999 - June 29, 2000
INVESTORS BROKERAGE SERVICES, INC.
March 10, 1995 - December 31, 1998
DWS DISTRIBUTORS, 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
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
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.
