Terry Dottor
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.
Terry Dottor, who also goes by Terry Quinn Dottor, Terry D Dottor, Terry Quinn Dottor, Terry Delores Quinn, Terry Delores Quinn, was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 2011. Terry had worked at 5 firms and has passed the Series 66, Series 63, SIE 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
February 1, 2019 - November 15, 2019
THRIVENT INVESTMENT MANAGEMENT INC.
January 16, 2019 - November 15, 2019
THRIVENT INVESTMENT MANAGEMENT INC.
June 16, 2017 - September 15, 2017
M HOLDINGS SECURITIES, INC.
April 7, 2017 - September 15, 2017
M HOLDINGS SECURITIES, INC.
April 27, 2015 - June 5, 2015
RAYMOND JAMES & ASSOCIATES, INC.
April 14, 2015 - June 5, 2015
RAYMOND JAMES & ASSOCIATES, INC.
January 16, 2014 - April 7, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
August 3, 2012 - December 31, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
May 1, 2012 - April 7, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
March 27, 2012 - May 2, 2012
MORGAN STANLEY
May 9, 2011 - May 2, 2012
MORGAN STANLEY
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
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
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | |
| BIRR, THOMAS JOHN | VICE PRESIDENT | 4148092 |
| BOUSU, CALEB ANTHONY | DIRECTOR | 7877353 |
| CECERE, NICHOLAS M | DIRECTOR | 1513551 |
| GILCHRIST, TONIA NICOLE JAMES | CHIEF LEGAL OFFICER & SECRETARY | 4777233 |
| GOLIS, ANDREA CORIN | CHIEF COMPLIANCE OFFICER | 1401462 |
| JOHNSON, ARIKA VIKTORIA | DIRECTOR | 5580869 |
| JOHNSTON, PAUL ROBERTS | DIRECTOR | 2065882 |
| KLOSTER, DAVID JACOB | PRESIDENT | 2523240 |
| NORGARD, ANDREW DYLAN | TREASURER | 6868385 |
Regulatory assets under management
| Total Number of Accounts | 48,940 |
| AUM (Assets Under Management) | $ 17,499,525,490 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2024 | ||
| 01/25/2024 |
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.
