Lou A. Dolan
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.
Lou Ann Dolan was a registered financial professional .
Lou is a previously registered financial professional and started their career in finance in 1998. Lou had worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2016 - September 30, 2021
DUNES SECURITIES CORPORATION
August 22, 2011 - January 5, 2015
COMMONFUND SECURITIES, INC.
December 4, 1998 - August 29, 2011
TCW FUNDS DISTRIBUTORS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 7/13/2022
General Securities Representative ExaminationCurrent Firm
DUNES SECURITIES CORPORATION
CRD#: 127394 / SEC#: , 8-65990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOWASCHINSKI, EDWARD BERNARD | CEO / CFO / CCO | 1592996 |
Disclosures
| Regulatory Event | 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.
