Robert W. Dauk
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.
Robert William Dauk Jr, who also goes by Robert William Dauk Jr, Robert William Dauk, Robert Dauk, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2017. Robert had worked at 3 firms and has passed the Series 63, SIE 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 14, 2025 - May 3, 2026
AMS BROKERAGE SERVICES LLC
June 21, 2021 - December 13, 2022
FARMERS FINANCIAL SOLUTIONS, LLC
March 11, 2019 - September 13, 2019
WELLS FARGO CLEARING SERVICES, LLC
October 5, 2017 - February 19, 2019
FARMERS FINANCIAL SOLUTIONS, 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
Exams
Current Firm
AMS BROKERAGE SERVICES LLC
CRD#: 335083 / SEC#: , 8-71341
Contact information
FINRA licenses (50 States and Territories)
Documents
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.
