John W. Dorr
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.
John W Dorr, who also goes by John Wells Dorr III, John Wells Dorr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2011. John had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2018 - October 12, 2018
TD AMERITRADE, INC.
April 11, 2018 - October 12, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 11, 2018 - October 12, 2018
TD AMERITRADE, INC.
December 16, 2013 - April 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 16, 2013 - April 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2012 - November 18, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 20, 2011 - November 18, 2013
WELLS FARGO CLEARING SERVICES, LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
