Dorothy S. Gross
Professional summary
Dorothy Sabreth Gross, who also goes by Sadie Fichera, Sadie Gross, Dorothy Sabreth Hampton, Dorothy Hampton, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Providence, Rhode Island.
Dorothy is registered as a RR (Registered Representative) and started their career in finance in 2012. Dorothy has worked at 5 firms and has passed the Series 63, Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dorothy Sabreth Gross's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2015 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 500 Exchange Street Suite 9-200, Providence, RI 02903-2630June 29, 2015 - November 24, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
December 2, 2014 - June 12, 2015
VOYA FINANCIAL ADVISORS, INC.
January 31, 2014 - November 26, 2014
MUTUAL OF AMERICA SECURITIES LLC
January 31, 2014 - November 26, 2014
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
January 16, 2014 - January 27, 2014
VOYA FINANCIAL PARTNERS, LLC
November 25, 2013 - January 15, 2014
VOYA FINANCIAL PARTNERS, LLC
February 13, 2012 - November 25, 2013
DIRECTED 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
(6/29/2015)
(6/29/2015)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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Company Information
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878Providence, RI 02903-2630TRUST BUT VERIFY
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