Dustin M. Sobolik
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.
Dustin Michael Sobolik, CFP®, who also goes by Dustin Sobolik, was a registered financial professional .
Dustin is a previously registered financial professional and started their career in finance in 2013. Dustin had worked at 2 firms and has passed the Series 65, Series 63 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
Start date: 2020
Experience
June 16, 2014 - September 30, 2015
CONTEGO CAPITAL GROUP, INC.
May 11, 2013 - March 31, 2014
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
CONTEGO CAPITAL GROUP, INC.
CRD#: 128518 / SEC#: 801-113844
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
CONTEGO CAPITAL GROUP, INC.
CRD#: 128518 / SEC#: 801-113844
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 121 |
| AUM (Assets Under Management) | $ 73,270,000 |
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.
