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Robert J. Vedros

Some features on this profile are disabled
CRD#: 453952
RV

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.

Robert Joseph Vedros was a registered financial advisor .

Robert is a previously registered financial advisor and started their career in finance in 1965. Robert had worked at 1 firm and has passed the Series 65, Series 63 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 1, 2006 - December 17, 2012

DORSEY & COMPANY, INC.

RIA
CRD#: 1668
NEW ORLEANS, LA
Past

June 14, 1965 - December 17, 2012

DORSEY & COMPANY, INC.

BD
CRD#: 1668
NEW ORLEANS, LA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/8/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/14/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 6/12/1965
Registered Representative Examination

Current Firm

D&
DORSEY & COMPANY, INC.
DORSEY & COMPANY INC. | STEPHENS FINANCIAL SERVICES | DORSEY INVESTMENT SECURITIES | DORSEY & COMPANY, INC.

CRD#: 1668 / SEC#: 801-35768, 8-7541

BD
Terminated by SEC on 02/01/2022
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Contact information

Main Address
511 Gravier Street, New Orleans, LA 70130-2726
Mailing Address
Phone number
Established
Louisiana since 05/26/1959
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

DORSEY WRAP FEE BROCHURE FOR SEPARATELY MANAGED ACCOUNT PROGRAMS - MAY 2020 (9/25/2020)

Direct owners and executive officers

NamePositionCRD#
PROSPERA FINANCIAL, LLCOWNER
THOMPSON, RAYMOND ANDREWPRESIDENT / CEO / CCO737094

Disclosures

Regulatory Event15

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.

Company Information

DORSEY & COMPANY, INC.

CRD#: 1668

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