Lisa A. Dobson
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.
Lisa Anne Dobson was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2008. Lisa had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2016 - March 31, 2021
HARBOUR INVESTMENT MANAGEMENT L.L.C.
October 23, 2009 - February 23, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - February 23, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 12, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
HARBOUR INVESTMENT MANAGEMENT L.L.C.
CRD#: 111166 / SEC#: 801-39540
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
HARBOUR INVESTMENT MANAGEMENT L.L.C.
CRD#: 111166 / SEC#: 801-39540
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 564 |
| AUM (Assets Under Management) | $ 470,591,159 |
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.
