Howard Richard Dobson Jr
CFP®Professional Summary
Howard Richard Dobson JR, CFP®, who also goes by Dick Dobson, Jr Dobson, is a registered financial advisor currently at AMERICAN FINANCIAL MANAGEMENT, LTD. located in Cedar Falls, Iowa and BALANCED SECURITY PLANNING, INC. located in Newport Beach, California. Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Howard has worked at 7 firms and has passed the Series 65, Series 63, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dick Dobson, Jr Dobson
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
AMERICAN FINANCIAL MANAGEMENT LTD | AMERICAN FINANCIAL MANAGEMENT, LTD.
Contact Information
Main Address
211 Owings Gate Ct Suite 302, Owings Mills, MD 21117Phone Number
(443) 339-2115# of Employees
2SEC notice filing (23 States and Territories)
Registered to provide investment advisory services in 23 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
155AUM (Assets Under Management)
$31,600,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
AMERICAN FINANCIAL MANAGEMENT LTD | AMERICAN FINANCIAL MANAGEMENT, LTD.
State Registrations and Notice Filings
(2/10/2023)
(12/7/2022)
(3/31/2023)
(6/26/2023)
(6/30/1999)
(12/7/2022)
(1/23/2024)
(3/10/2023)
(2/10/2023)
(2/10/2023)
(2/16/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1981About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 2001About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Howard Richard Dobson JR's CRS (Customer Relationship Summary).
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