Dorothy R. Martin
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.
Dorothy Rose Martin, who also goes by Dot Martin, Dorothy Ann Rose, was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1980. Dorothy had worked at 6 firms and has passed the Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 1987 - November 12, 1987
M.G.S.I. SECURITIES, INC.
July 26, 1985 - March 5, 1986
CHARLES SCHWAB & CO., INC.
May 23, 1984 - June 4, 1985
JM DISSOLUTION, INC.
March 15, 1983 - May 22, 1984
PARK, RYAN, INC.
May 19, 1981 - March 9, 1983
DONALD SHELDON & CO., INC.
December 1, 1980 - May 30, 1981
JHM, 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
Current Firm
M.G.S.I. SECURITIES, INC.
CRD#: 16723 / SEC#: , 8-33998
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.
