Roy W. Dodson
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.
Roy Wayne Dodson JR, who also goes by Roy W Dodson, Roy W Jr Dodson, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1972. Roy had worked at 7 firms and has passed the Series 63, Series 22, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
August 2, 1988 - January 25, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 2, 1988 - January 25, 2001
OSAIC FA, INC.
October 20, 1987 - November 2, 2018
ROY W. DODSON FINANCIAL PLANNER
July 19, 1983 - October 24, 1986
NEW ENGLAND SECURITIES
May 9, 1983 - July 22, 1983
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
September 25, 1972 - December 18, 1978
SHENANDOAH EQUITY SERVICES, INCORPORATED
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: 9/20/1972
Registered Representative ExaminationCurrent Firm
LINCOLN NATIONAL PENSION INSURANCE COMPANY
CRD#: 10293 / SEC#: , 8-26735
Contact information
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.
