Christopher B. 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.
Christopher Brian Dolan was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1995. Christopher had worked at 7 firms and has passed the Series 63 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
January 9, 2001 - December 31, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
January 10, 2000 - December 12, 2000
VANGUARD CAPITAL
September 23, 1999 - December 23, 1999
QUESTAR CAPITAL CORPORATION
March 15, 1999 - April 22, 1999
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 23, 1998 - November 9, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 8, 1996 - October 12, 1998
JOSEPH CHARLES & ASSOC., INC.
December 18, 1995 - November 5, 1996
FAIRCHILD FINANCIAL GROUP, INC.
November 21, 1995 - November 30, 1995
L.C. WEGARD & CO., 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
GLOBAL CAPITAL SECURITIES CORPORATION
CRD#: 16184 / SEC#: , 8-33481
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 31 |
Red Flags
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