Frederick W. Dobisch
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.
Frederick Walter Dobisch, CFP®, who also goes by Fred Dobisch, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1972. Frederick had worked at 11 firms and has passed the Series 63, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2006 - December 31, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 2, 2003 - December 31, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 9, 2002 - December 16, 2002
THE ADVISORS GROUP, INC.
October 1, 1997 - December 31, 2001
AMERICAN GENERAL SECURITIES INCORPORATED
February 15, 1994 - October 1, 1997
USLIFE EQUITY SALES CORP.
January 22, 1992 - January 26, 1994
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
March 13, 1990 - December 10, 1991
OSAIC FS, INC.
March 24, 1987 - December 14, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 18, 1986 - January 28, 1987
HOMESTEAD SECURITIES, INC.
May 29, 1981 - June 19, 1986
OSAIC FS, INC.
May 1, 1979 - June 4, 1981
USLIFE EQUITY SALES CORP.
October 18, 1977 - May 1, 1979
USLIFE EQUITY SALES CORP
February 25, 1974 - October 24, 1975
GENERAL INVESTMENT SALES CORPORATION
August 8, 1972 - March 11, 1977
THE MUTUAL FUND CORPORATION OF DELAWARE, INC.
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 1
Date: 10/12/1962
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
