Patricia L. Dodson

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CRD#: 4716201

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

Are you a "fiduciary"?

Aliases

Patricia Dodson Caldwell | Patricia Caldwell | Patricia Lynn Dodson

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.

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

April 2, 2010 - February 15, 2018

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

October 24, 2003 - January 25, 2006

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

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

General Industry/Product Exam

SIE

Date: 2/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/1/2010

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/7/2010

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CAPITAL BROKERAGE CORPORATION

CAPITAL BROKERAGE CORPORATION | GNA SECURITIES, INC. | GENWORTH FINANCIAL BROKERAGE CORPORATION | GE CAPITAL BROKERAGE CORPORATION

CRD#: 10465 / SEC#: , 8-26614

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

11011 West Broad Street Building 2, Glen Allen, VA 23060

Mailing Address

11011 West Broad Street Building 2, Glen Allen, VA 23060

Phone number

(804) 513-3172

Established

Washington since 07/01/1981

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
GNA CORPORATION	SHAREHOLDER COMMON
NAMORATO, JAMES JOSEPH	CHIEF COMPLIANCE OFFICER	2944112
TABB, MARIA ODONNELL	PRESIDENT AND CHIEF EXECUTIVE OFFICER	1309483
TURNER, BONNIE COBB	FINOP	4389441

Disclosures

Regulatory Event	3
Arbitration	1

Red Flags

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