James Timothy Dobson
Professional Summary
James Timothy Dobson was a registered financial advisor. James was a previously registered financial professional and started their career in finance 2006 - 2015. James had worked at 3 firms and has passed the SIE, Series 79, Series 87, Series 86 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
DE GUARDIOLA ADVISORS, INC. | DE GUARDIOLA ADVISORS, LLC
Contact Information
Established
Florida since 12/31/2014Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Jun 2013About the Series 79 examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Apr 2007About the Series 87 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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