John D. Dodd
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.
John David Dodd, who also goes by John D Dodd, John Dodd, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 10 firms and has passed the Series 65, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2015 - March 31, 2023
DODD & ASSOCIATES
October 12, 2010 - April 27, 2023
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
September 8, 2009 - October 18, 2010
LPL FINANCIAL LLC
April 7, 2006 - September 8, 2009
MUTUAL SERVICE CORPORATION
March 31, 2005 - April 11, 2006
QUEST CAPITAL MANAGEMENT, INC.
January 30, 2004 - April 13, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 18, 1989 - February 13, 2004
SUNAMERICA SECURITIES, INC.
September 1, 1983 - July 11, 1988
MONARCH SECURITIES, INC.
November 3, 1982 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
September 29, 1982 - November 24, 1982
FINANCIAL STRATEGIES INVESTMENT CORPORATION
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: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/14/1970
Registered Representative ExaminationCurrent Firm
DODD & ASSOCIATES
CRD#: 118150 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 23 |
| AUM (Assets Under Management) | $ 17,485,062 |
Red Flags
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