Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dorothy? Claim Your ProfileDorothy Sperry is an investment advisor representative with Charles Schwab & CO., Inc., working out of their Sarasota, FL office. Dorothy is also a registered representative. Dorothy has over 19 years of experience in the financial services industry. Dorothy's previous roles have included positions with TD Ameritrade, Inc., Empower Financial Services, Inc., Cetera Advisor Networks LLC, Fidelity Brokerage Services LLC, Pruco Securities, LLC., AXA Advisors, LLC, AIG Retirement Advisors, Inc., and MML Investors Services, Inc.. Dorothy holds the Series 6, 7, 24, 63 and 65 securities licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
FL
09/05/2023 - Present
Charles Schwab & CO., Inc. (Sarasota FL)
FL
10/26/2023 - 05/19/2024
TD AMERITRADE, INC. (Sarasota FL)
CO
02/23/2022 - 08/16/2023
EMPOWER FINANCIAL SERVICES, INC. (GREENWOOD VILLAGE CO)
FL
04/03/2020 - 02/02/2022
TD AMERITRADE, INC. (THE VILLAGES FL)
FL
02/26/2018 - 08/29/2019
TD AMERITRADE, INC. (Ponte Vedra Beach FL)
FL
03/28/2017 - 02/26/2018
SCOTTRADE, INC. (GAINESVILLE FL)
NC
04/22/2016 - 08/15/2016
CETERA ADVISOR NETWORKS LLC (WILMINGTON NC)
FL
06/17/2013 - 01/29/2016
FIDELITY BROKERAGE SERVICES LLC (SARASOTA FL)
FL
04/14/2011 - 05/31/2013
PRUCO SECURITIES, LLC. (ALACHUA FL)
FL
12/16/2008 - 04/18/2011
AXA ADVISORS, LLC (GAINESVILLE FL)
TX
10/16/2003 - 12/22/2008
AIG RETIREMENT ADVISORS, INC. (HOUSTON TX)
MA
05/26/2003 - 10/22/2003
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
BC
Issued 04/09/2005
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/07/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/02/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/25/2009
Series 7 - General Securities Representative Examination
BC
Issued 05/23/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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