Kelly T. Dossman
Professional summary
Kelly Travis Dossman, who also goes by Kelly Dossman, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Dallas, Texas.
Kelly is registered as a RR (Registered Representative) and started their career in finance in 1999. Kelly has worked at 15 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kelly Travis Dossman's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 2022 - Present
NYLIFE SECURITIES LLC
Office #1: 5005 Lyndon B. Johnson Fwy Suite 1800, Dallas, TX 75244April 28, 2020 - May 4, 2021
FARMERS FINANCIAL SOLUTIONS, LLC
May 10, 2017 - February 12, 2019
CAPITAL ONE ADVISORS, LLC
May 10, 2017 - February 12, 2019
CAPITAL ONE INVESTING, LLC
August 4, 2016 - October 31, 2016
CAPITAL ANALYSTS
July 6, 2016 - October 31, 2016
LINCOLN INVESTMENT
July 6, 2016 - October 31, 2016
LINCOLN INVESTMENT
August 21, 2015 - July 1, 2016
MSI FINANCIAL SERVICES, INC.
July 27, 2015 - July 1, 2016
MSI FINANCIAL SERVICES, INC.
December 19, 2014 - August 6, 2015
VALIC FINANCIAL ADVISORS, INC.
August 4, 2014 - August 6, 2015
VALIC FINANCIAL ADVISORS, INC.
April 30, 2012 - June 16, 2014
AVANTAX INVESTMENT SERVICES, INC.
September 9, 2010 - March 19, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 12, 2003 - January 15, 2010
KESTRA INVESTMENT SERVICES, LLC
January 4, 2002 - October 4, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 26, 2001 - December 31, 2001
PLANMEMBER SECURITIES CORPORATION
October 7, 1999 - April 28, 2000
SCOTTRADE, INC.
May 27, 1999 - October 6, 1999
LLOYD WADE SECURITIES 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
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/24/2022)
(10/22/2022)
(10/23/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(6/16/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
(10/22/2022)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/27/2006
Limited Representative-Equity Trader ExamFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
