Albert R. Elliott
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.
Albert Robert Elliott was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1995. Albert had worked at 8 firms and has passed the Series 63 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
Experience
July 22, 2009 - December 26, 2013
DOMINION INVESTOR SERVICES, INC.
January 3, 2008 - May 11, 2009
FORTUNE FINANCIAL SERVICES, INC.
October 4, 2006 - December 31, 2007
ON INVESTMENT MANAGEMENT CO
October 2, 2006 - December 31, 2007
THE O.N. EQUITY SALES COMPANY
May 6, 2005 - October 2, 2006
KALOS MANAGEMENT
January 24, 2005 - March 22, 2005
KALOS CAPITAL, INC.
January 24, 2005 - October 2, 2006
KALOS CAPITAL, INC.
April 1, 2003 - January 5, 2005
MML INVESTORS SERVICES, LLC
January 1, 1996 - January 5, 2005
MML INVESTORS SERVICES, LLC
June 1, 1995 - December 7, 1995
PRUCO SECURITIES, LLC.
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
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
