Scot A. Dobbs
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.
Scot A Dobbs, CFP®, who also goes by Scott Dobbs, was a registered financial professional .
Scot is a previously registered financial professional and started their career in finance in 2002. Scot had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2005
Experience
July 2, 2013 - November 11, 2014
WIPFLI FINANCIAL ADVISORS, LLC
January 3, 2011 - July 3, 2013
WIPFLI HEWINS INVESTMENT ADVISORS LLC
November 8, 2006 - September 26, 2011
LCV WEALTH MANAGEMENT, LTD.
August 29, 2002 - January 4, 2005
MSI FINANCIAL SERVICES, INC.
April 9, 2002 - January 4, 2005
METROPOLITAN LIFE INSURANCE COMPANY
April 9, 2002 - January 4, 2005
MSI FINANCIAL SERVICES, 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
Exams
Current Firm
WIPFLI FINANCIAL ADVISORS, LLC
CRD#: 109983 / SEC#: 801-56865
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 9,010 |
| AUM (Assets Under Management) | $ 5,066,337,996 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/23/2022 | ||
| 01/13/2022 |
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.
