Dolly Schaub
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.
Dolly Schaub, who also goes by Dolly Stanton Miller, Dolly Norton, Dolly N. Schaub, was a registered financial professional .
Dolly is a previously registered financial professional and started their career in finance in 2009. Dolly had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2017 - December 31, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - December 31, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
December 9, 2016 - August 21, 2017
FINANCIAL WEST GROUP
December 8, 2016 - August 21, 2017
FINANCIAL WEST GROUP
October 8, 2013 - August 3, 2016
EDWARD JONES
August 19, 2013 - August 3, 2016
EDWARD JONES
October 19, 2010 - August 14, 2013
NEW ENGLAND SECURITIES
May 28, 2009 - October 21, 2010
PFS INVESTMENTS INC.
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
