Charles R. Dobson
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.
Charles Richard Dobson, CFP®, who also goes by Charles Richard Dobson Jr, Chuck Dobson, Charles Richard Dobson, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2000. Charles had worked at 8 firms and has passed the Series 66, SIE, Series 7 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
January 31, 2020 - December 31, 2024
MGI FUNDS DISTRIBUTORS, LLC
April 25, 2017 - January 23, 2020
KESTRA ADVISORY SERVICES, LLC
April 25, 2017 - January 23, 2020
KESTRA INVESTMENT SERVICES, LLC
October 7, 2014 - March 22, 2017
MMC SECURITIES LLC
October 7, 2014 - March 22, 2017
MMC SECURITIES LLC
November 16, 2011 - September 15, 2014
ALIGHT FINANCIAL ADVISORS, LLC
November 16, 2011 - September 15, 2014
ALIGHT FINANCIAL SOLUTIONS, LLC
February 18, 2011 - August 3, 2011
PARK AVENUE SECURITIES LLC
February 17, 2011 - August 3, 2011
PARK AVENUE SECURITIES LLC
April 1, 2004 - December 7, 2010
PARK AVENUE SECURITIES LLC
December 31, 2000 - April 1, 2004
C.P. ADVISORY SERVICES
September 28, 2000 - December 7, 2010
PARK AVENUE SECURITIES LLC
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
MGI FUNDS DISTRIBUTORS, LLC
CRD#: 35682 / SEC#: , 8-46960
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
