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Andrew W. Dodds
CROWN OAK ADVISORS
San Diego, CA
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CRD#: 6349266
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Professional summary
Andrew Warren Dodds is a registered financial advisor currently at CROWN OAK ADVISORS located in San Diego, California.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Andrew has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Warren Dodds's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 17, 2020 - Present
CROWN OAK ADVISORS
RIA
CRD#: 309749
San Diego, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CO
CROWN OAK ADVISORS
CROWN OAK ADVISORS | CROWN OAK ADVISORS, LLC
CRD#: 309749 / SEC#: 801-128309
RIA
Registered Investment Advisory firm - (7/12/2023 Approved)California
Registered Investment Advisory firm - (8/16/2023 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(8/17/2020)
Exams
Current Firm
CO
CROWN OAK ADVISORS
CROWN OAK ADVISORS | CROWN OAK ADVISORS, LLC
CRD#: 309749 / SEC#: 801-128309
RIA
Registered Investment Advisory firm - (7/12/2023 Approved)California
Registered Investment Advisory firm - (8/16/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Piedmont, CA
Mailing Address
Phone number
(510) 244-4685
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 65 |
| AUM (Assets Under Management) | $ 219,560,155 |
Red Flags
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