HD
Howard R. Dobson
AMERICAN FINANCIAL MANAGEMENT, LTD.
CEDAR FALLS, IA 50613
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CRD#: 723493
HD
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 99TO, SIE, Series 6, Series 51, Series 26 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dick Dobson | Jr Dobson
Other business activities
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.
1.American Financial Management Ltd., investment-related, 9830 Reisterstown Rd. #219 Owings Mills, MD 21117, Registered Investment Advisor, 1983, 10 hours/month, 10 hours/month during securities trading hours, advise clients on RIA service and conduct review. 2.Author and Speaker, non-investment-related, 2927 Minnetonka Dr., Cedar Falls, IA 50613, Book Sales and Speaking Engagements Website, Author and Speaker, 2022, 20 hours/month, 20 hours/month during securities trading hours, website maintenance, sales of books, speaking engagements. 3.Moss Valley Group LLC, non investment-related, 2927 Minnetonka Dr., Cedar Falls, IA 50613, Entity for Author book sales and speaking engagements, member, 2022, 10 hours/month, 10 hours/month during securities trading hours, receiving and disbursing income and expenses from book sales and speaking. 4.Insurance Agent, investment-related, 2927 Minnetonka Dr., Cedar Falls, IA 50613, activities in recommending and placing life insurance and annuities, licensed agent, 1980, 20 hours/month, 20 hours/month during securities trading hours, use of life insurance and fixed annuities to solve client issues. 5.Million Dollar Round Table (MDRT), non-investment-related, 325 W Touhy Ave., Park Ridge, IL 60068, Professional Association, member, 1984, 3 hours/month, .5 hours/month during securities trading hours, volunteer for various member committees & charitable foundation.
CRS (Client Relationship Summary) - RIA
Click below to view Howard Richard Dobson JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1985
Experience
Current
June 30, 1999 - Present
AMERICAN FINANCIAL MANAGEMENT, LTD.
Office #1: 6003 University Avenue, Ste C, Cedar Falls, IA 50613Office #2: 501 Fairmount Ave Suite 203, Towson, MD 21286RIA
CRD#: 111016
CEDAR FALLS, IA
Current
December 7, 2022 - Present
BALANCED SECURITY PLANNING, INC.
Office #1: 4701 Teller Avenue, Newport Beach, CA 92660Office #2: 4701 Teller Avenue, Newport Beach, CA 92660BD
CRD#: 4038
Newport Beach, CA
Past
August 30, 2001 - January 3, 2023
AMERICAN FINANCIAL SECURITIES, INC.
BD
CRD#: 111856
CEDAR FALLS, IA
Past
October 10, 1997 - November 1, 2001
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Past
August 25, 1995 - October 10, 1997
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
May 19, 1992 - August 31, 1995
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
February 11, 1981 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
AMERICAN FINANCIAL MANAGEMENT, LTD.
AMERICAN FINANCIAL MANAGEMENT LTD | AMERICAN FINANCIAL MANAGEMENT, LTD.
CRD#: 111016 / SEC#: 801-20003
RIA
Registered Investment Advisory firm - (10/26/1983 Approved)Nevada
Registered Investment Advisory firm - (6/15/2004 Cancelled)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/10/2023)
RR
Colorado(12/7/2022)
RR
Illinois(3/31/2023)
RR
Indiana(6/26/2023)
IAR
Iowa(6/30/1999)
RR
Iowa(12/7/2022)
RR
Minnesota(1/23/2024)
RR
Missouri(3/10/2023)
RR
Nebraska(2/10/2023)
RR
South Dakota(2/10/2023)
RR
Wisconsin(2/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AF
AMERICAN FINANCIAL MANAGEMENT, LTD.
AMERICAN FINANCIAL MANAGEMENT LTD | AMERICAN FINANCIAL MANAGEMENT, LTD.
CRD#: 111016 / SEC#: 801-20003
RIA
Registered Investment Advisory firm - (10/26/1983 Approved)Nevada
Registered Investment Advisory firm - (6/15/2004 Cancelled)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
501 Fairmount Ave Suite 203, Towson, MD 21286
Mailing Address
Phone number
(443) 339-2115
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 193 |
| AUM (Assets Under Management) | $ 33,423,445 |
Red Flags
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Company Information
AMERICAN FINANCIAL MANAGEMENT, LTD.
CRD#: 111016Cedar Falls, IA 50613TRUST BUT VERIFY
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