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Detailed Report
Dorothy Ann Sperry
DOROTHY SPERRY GRASKA, Dorothy A Sperry, Dorothy Sperry
CRD#: 4635917
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 1213 Culbreth Drive
Suite 124
Wilmington, NC 28405
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2008 - 2011 (2 years)2 FIRMS2011 - 2013 (2 years)2 FIRMS2013 - 2016 (2 years)2 FIRMS2016 - 2016 (<1 year)2 FIRMS2017 - 2018 (<1 year)3 FIRMS2018 - 2019 (1 year)3 FIRMS2020 - 2022 (1 year)2 FIRMS2022 - 2023 (1 year)2 FIRMS2023 - Present (1 year)BTD AMERITRADE, INC. (CRD# 7870)2023 - 2024 (<1 year)BAIG RETIREMENT ADVISORS, INC. (CRD# 42803)2003 - 2008 (5 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)2003 - 2003 (<1 year)IAFINANCIAL ENGINES ADVISORS L.L.C. (CRD# 104510)2019 - 2020 (<1 year)IAAIG RETIREMENT ADVISORS, INC. (CRD# 42803)2004 - 2008 (4 years)
License(s)

State Registrations

B
Alabama 9/1/2023
B
Mississippi 9/1/2023
B
Alaska 1/2/2025
B
Missouri 9/1/2023
B
Arkansas 1/2/2025
B
Nebraska 1/2/2025
B
California 9/1/2023
B
New Hampshire 9/1/2023
B
Colorado 9/1/2023
B
New Jersey 9/1/2023
B
Connecticut 9/1/2023
B
New Mexico 1/2/2025
B
Delaware 9/1/2023
B
New York 9/1/2023
B
District of Columbia 9/19/2024
B
North Carolina 9/1/2023
B
Florida 9/1/2023
IA
North Carolina 2/6/2025
IA
Florida 9/5/2023
B
North Dakota 1/2/2025
B
Georgia 9/5/2023
B
Ohio 9/1/2023
B
Idaho 1/2/2025
B
Oregon 9/1/2023
B
Illinois 9/13/2023
B
Pennsylvania 9/1/2023
B
Indiana 9/1/2023
B
Puerto Rico 1/2/2025
B
Kentucky 1/2/2025
B
South Carolina 9/19/2024
B
Louisiana 9/1/2023
B
Tennessee 9/1/2023
B
Maryland 9/1/2023
IA
Texas 9/5/2023
B
Massachusetts 9/5/2023
B
Vermont 1/2/2025
B
Michigan 9/1/2023
B
Virginia 9/1/2023
B
Minnesota 9/5/2023
B
Wyoming 1/2/2025

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1213 Culbreth Drive Suite 124, Wilmington, NC 28405
Registered with this firm since 9/5/2023
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1213 Culbreth Drive Suite 124, Wilmington, NC 28405
Registered with this firm since 9/1/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 10/26/2023 - 05/19/2024 TD AMERITRADE, INC. (CRD#:7870) Sarasota, FL
IA
 03/08/2022 - 08/16/2023 EMPOWER ADVISORY GROUP, LLC (CRD#:112058) Ponte Vedra, FL
B
 02/23/2022 - 08/16/2023 EMPOWER FINANCIAL SERVICES, INC. (CRD#:13109) GREENWOOD VILLAGE, CO
IA
 04/29/2020 - 02/02/2022 TD AMERITRADE, INC. (CRD#:7870) THE VILLAGES, FL
IA
 04/07/2020 - 02/02/2022 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) The Villages, FL
B
 04/03/2020 - 02/02/2022 TD AMERITRADE, INC. (CRD#:7870) THE VILLAGES, FL
IA
 10/15/2019 - 03/11/2020 FINANCIAL ENGINES ADVISORS L.L.C. (CRD#:104510) HENRICO, VA
IA
 02/28/2018 - 08/29/2019 TD AMERITRADE, INC. (CRD#:7870) Ponte Vedra Beach, FL
IA
 02/26/2018 - 08/29/2019 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Ponte Vedra Beach, FL
B
 02/26/2018 - 08/29/2019 TD AMERITRADE, INC. (CRD#:7870) Ponte Vedra Beach, FL
IA
 04/04/2017 - 02/26/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) Jacksonville Beach, FL
B
 03/28/2017 - 02/26/2018 SCOTTRADE, INC. (CRD#:8206) GAINESVILLE, FL
IA
 04/29/2016 - 08/17/2016 FOUNTAIN FINANCIAL ASSOCIATES, INC. (CRD#:174760) WILMINGTON, NC
B
 04/22/2016 - 08/15/2016 CETERA ADVISOR NETWORKS LLC (CRD#:13572) WILMINGTON, NC
IA
 07/15/2013 - 02/01/2016 STRATEGIC ADVISERS, INC. (CRD#:104555) SARASOTA, FL
B
 06/17/2013 - 01/29/2016 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SARASOTA, FL
IA
 04/20/2011 - 05/31/2013 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) ALACHUA, FL
B
 04/14/2011 - 05/31/2013 PRUCO SECURITIES, LLC. (CRD#:5685) ALACHUA, FL
IA
 12/23/2008 - 04/18/2011 AXA ADVISORS, LLC (CRD#:6627) GAINESVILLE, FL
B
 12/16/2008 - 04/18/2011 AXA ADVISORS, LLC (CRD#:6627) GAINESVILLE, FL
IA
 04/14/2004 - 12/22/2008 AIG RETIREMENT ADVISORS, INC. (CRD#:42803) GAINESVILLE, FL
B
 10/16/2003 - 12/22/2008 AIG RETIREMENT ADVISORS, INC. (CRD#:42803) HOUSTON, TX
B
 05/26/2003 - 10/22/2003 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.