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ANDREW T DODDS
CRD#: 2143266
IA
B
DODDS WEALTH, LLCCRD#: 323632 5251 DTC PARKEAY STE 720
GREENWOOD VILLAGE, CO 80111
GREENWOOD VILLAGE, CO 80111
LPL FINANCIAL LLCCRD#: 6413 5251 DTC PARKWAY SUITE 720
GREENWOOD VILLAGE, CO 80111
GREENWOOD VILLAGE, CO 80111
View By:
7/9/2008
Customer Dispute
Settled
State Registrations
B
Arizona 2/13/2003
B
Missouri 10/11/2004
B
California 2/13/2003
B
Montana 9/30/2014
B
Colorado 2/13/2003
B
Nebraska 7/20/2009
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Colorado 1/8/2023
B
New Jersey 7/7/2005
B
Connecticut 9/12/2003
B
New Mexico 9/3/2020
B
Delaware 9/30/2014
B
New York 6/29/2011
B
District of Columbia 10/29/2018
B
North Carolina 10/2/2014
B
Florida 2/13/2003
B
Ohio 1/13/2016
B
Georgia 9/30/2014
B
Oklahoma 2/13/2003
B
Hawaii 4/10/2017
B
Oregon 9/30/2014
B
Idaho 6/26/2007
B
Pennsylvania 2/13/2003
B
Illinois 2/13/2003
B
South Carolina 3/3/2017
B
Indiana 9/30/2014
B
Tennessee 3/10/2009
B
Iowa 11/19/2010
B
Texas 2/13/2003
B
Kansas 6/24/2011
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Texas 2/10/2023
B
Maine 10/7/2008
B
Utah 9/14/2016
B
Maryland 9/30/2014
B
Virginia 8/5/2014
B
Massachusetts 7/12/2007
B
Washington 9/30/2014
B
Michigan 7/17/2003
B
Wisconsin 11/5/2007
B
Minnesota 1/6/2010
B
Wyoming 9/12/2003
SRO Registrations
B
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Registered with this firm since 1/8/2023
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Registered with this firm since 2/13/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/14/2004 - 05/15/2023 | GREENWOOD VILLAGE, CO | |
IA | 02/13/2003 - 04/25/2023 | CASTLE ROCK, CO | |
IA | 01/01/1999 - 02/27/2003 | ENGELWOOD, CO | |
B | 05/10/1991 - 02/27/2003 | MINNEAPOLIS, MN | |
B | 05/10/1991 - 02/27/2003 | MINNEAPOLIS, MN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.