Grant E. Doty
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.
Grant Eugene Doty was a registered financial professional .
Grant is a previously registered financial professional and started their career in finance in 1996. Grant had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2013 - November 18, 2014
INVESTMENT CENTERS OF AMERICA, INC.
February 19, 2013 - November 18, 2014
INVESTMENT CENTERS OF AMERICA, INC.
April 26, 2010 - July 8, 2011
PNC WEALTH MANAGEMENT LLC
April 26, 2010 - July 6, 2011
PNC CAPITAL MARKETS LLC
April 26, 2010 - July 8, 2011
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - April 20, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - April 20, 2010
PNC WEALTH MANAGEMENT LLC
May 7, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
May 7, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
November 9, 2006 - April 5, 2007
LEGEND ADVISORY, LLC
April 18, 2005 - April 5, 2007
LEGEND EQUITIES CORPORATION
June 21, 2002 - April 27, 2005
INVESTMENT CENTERS OF AMERICA, INC.
July 31, 1998 - June 3, 2002
CAPITAL SELECT INVESTMENTS CORP.
May 8, 1998 - July 13, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 13, 1997 - May 1, 1998
PRUCO SECURITIES, LLC.
July 10, 1996 - August 6, 1997
THE O.N. EQUITY SALES COMPANY
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
INVESTMENT CENTERS OF AMERICA, INC.
CRD#: 16443 / SEC#: 801-56410, 8-33983
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVEST FINANCIAL CORPORATION | DIRECT OWNER | 12984 |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP/COO | 2770565 |
| KOMOSZEWSKI, JAMES ANTHONY | PRESIDENT/CEO/DIRECTOR | 2833256 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND ICA SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
| Bond | 3 |
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.
