Dorothy A. Peisner
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 Ann Peisner, who also goes by Dorothy Brown, Dorothy Ann Naughton, was a registered financial advisor .
Dorothy is a previously registered financial advisor and started their career in finance in 1975. Dorothy had worked at 7 firms and has passed the Series 65, Series 63, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2009 - August 1, 2011
FINANCIAL WEST GROUP
July 30, 2009 - August 1, 2011
FINANCIAL WEST GROUP
March 20, 2008 - August 3, 2009
GOLD COAST SECURITIES, INC.
March 19, 2008 - August 3, 2009
GOLD COAST SECURITIES, INC.
March 24, 1998 - March 20, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 20, 1998 - March 20, 2008
WELLS FARGO CLEARING SERVICES, LLC
August 25, 1989 - February 23, 1998
PRUDENTIAL EQUITY GROUP, LLC
July 1, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
February 23, 1981 - July 11, 1988
UBS FINANCIAL SERVICES INC.
October 23, 1975 - February 10, 1977
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 8
Date: 11/18/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
