James H. Dodok

DODOK WEALTH AND INVESTMENT ADVISORS LLC

DAYTON, OH 45429

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CRD#: 2910833

Professional summary

James Henry Dodok is a registered financial advisor currently at DODOK WEALTH AND INVESTMENT ADVISORS LLC located in Dayton, Ohio.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. James has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

CYMI, LTD.; INVESTMENT RELATED; VANDALIA, OHIO; PRIVATE FAMILY OFFICE; EMPLOYEE/WEALTH ADVISOR; 01/1999; APPROXIMATELY 25% OF MY TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Henry Dodok's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 12, 2011 - Present

DODOK WEALTH AND INVESTMENT ADVISORS LLC

Office #1: 5540 Far Hills Ave. Suite 206, Dayton, OH 45429

RIA

CRD#: 155307

DAYTON, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(4/12/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/24/2011

Uniform Investment Adviser Law Examination

Current Firm

DODOK WEALTH AND INVESTMENT ADVISORS LLC

CRD#: 155307 / SEC#:

Ohio

Registered Investment Advisory firm - (4/12/2011 Approved)

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Contact information

Main Address

5540 Far Hills Ave Suite 206, Dayton, OH 45429

Mailing Address

Phone number

(937) 938-6842

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 12,034,119

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.

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James H. Dodok

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Henry Dodok's CRS (Customer Relationship Summary).

Certified licenses

Experience

DODOK WEALTH AND INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/2011

Current Firm

DODOK WEALTH AND INVESTMENT ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DODOK WEALTH AND INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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