Dorothy A. Vines

VINES CAPITAL MANAGEMENT

Monroe, LA 71201

Some features on this profile are disabled

CRD#: 7348520

Professional summary

Dorothy Ann Johnston Vines, who also goes by Doll Ann Johnston VInes, Dorothy A Vines, is a registered financial advisor currently at VINES CAPITAL MANAGEMENT, LLC located in Monroe, Louisiana.

Dorothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Dorothy has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doll Ann Johnston Vines | Dorothy A Vines

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dorothy Ann Johnston Vines's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 12, 2021 - Present

VINES CAPITAL MANAGEMENT, LLC

Office #1: 1896 Hudson Circle Suite 3, Monroe, LA 71201

RIA

CRD#: 298727

Monroe, LA

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".

VINES CAPITAL MANAGEMENT, LLC

CRD#: 298727 / SEC#: 801-123516

RIA

Registered Investment Advisory firm - (3/24/2022 Approved)

Louisiana

Registered Investment Advisory firm - (4/21/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/21/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Louisiana
(7/12/2021)

IAR

Texas
(7/12/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/12/2021

Uniform Investment Adviser Law Examination

Current Firm

VINES CAPITAL MANAGEMENT, LLC

CRD#: 298727 / SEC#: 801-123516

RIA

Registered Investment Advisory firm - (3/24/2022 Approved)

Louisiana

Registered Investment Advisory firm - (4/21/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/21/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1896 Hudson Circle Suite 3, Monroe, LA 71201

Mailing Address

P.o. Box 14927, Monroe, LA 71207-4927

Phone number

(318) 450-4664

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VINES CAPITAL MANAGEMENT, LLC ADV PART 2 BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	402
AUM (Assets Under Management)	$ 168,333,675

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.

Similar Advisors

Kyle Mylius

HUMANIZE WEALTH

IAR

Seattle, WA

Donald Frost

ALLSTATE FINANCIAL SERVICES, LLC

Placentia, CA

Kevin Dunn

LPL FINANCIAL LLC

IAR

Helena, MT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Dorothy A. Vines

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dorothy Ann Johnston Vines's CRS (Customer Relationship Summary).

Certified licenses

Experience

VINES CAPITAL MANAGEMENT, LLC

Primary Firm SEC Registration

VINES CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/12/2021

Current Firm

VINES CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VINES CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors