Dora E. Strout
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.
Dora Elisa Strout was a registered financial professional .
Dora is a previously registered financial professional and started their career in finance in 2015. Dora had worked at 1 firm and has passed the Series 7TO, SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2015 - August 31, 2022
GARRETT NAGLE & CO., INC.
Primary Firm SEC Registration
GARRETT NAGLE & CO., INC.
CRD#: 7071 / SEC#: 801-11370, 8-20369
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
Series 7TO
Date: 12/10/2019
General Securities Representative ExaminationCurrent Firm
GARRETT NAGLE & CO., INC.
CRD#: 7071 / SEC#: 801-11370, 8-20369
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 143 |
| AUM (Assets Under Management) | $ 95,839,185 |
Disclosures
| Regulatory Event | 3 |
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.
