W D. Dodds
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.
W Douglas Dodds, who also goes by Doug Dodds, William Douglas Dodds, William Dodds, was a registered financial advisor .
W is a previously registered financial advisor and started their career in finance in 1975. W had worked at 8 firms and has passed the Series 65, Series 63, Series 7 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
February 13, 2009 - November 7, 2013
MSI FINANCIAL SERVICES, INC.
December 15, 2008 - November 7, 2013
MSI FINANCIAL SERVICES, INC.
September 23, 2005 - May 7, 2007
PAULSON INVESTMENT COMPANY LLC
September 22, 2005 - May 7, 2007
PAULSON INVESTMENT COMPANY LLC
October 19, 2002 - August 22, 2005
MORGAN STANLEY DW INC.
November 14, 1989 - August 22, 2005
MORGAN STANLEY DW INC.
November 16, 1982 - September 9, 1989
DAIN RAUSCHER INCORPORATED
September 8, 1977 - December 3, 1982
FOSTER & MARSHALL INC.
July 15, 1975 - October 23, 1977
AMERICAN EXPRESS FINANCIAL CORPORATION
July 15, 1975 - October 23, 1977
AMERIPRISE FINANCIAL SERVICES, LLC
July 15, 1975 - October 23, 1977
IDS LIFE INSURANCE COMPANY
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: 7/11/1975
Registered Representative ExaminationCurrent Firm
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
