Patricia L. Dodson
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.
Patricia Lynne Dodson, who also goes by Patricia Dodson Caldwell, Patricia Caldwell, Patricia Lynn Dodson, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2003. Patricia had worked at 1 firm and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2010 - February 15, 2018
CAPITAL BROKERAGE CORPORATION
October 24, 2003 - January 25, 2006
CAPITAL BROKERAGE CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
