Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tom? Claim Your ProfileTom Dolby is an investment advisor representative with City National Securities, Inc. with over 12 years of experience in the financial services industry. Tom has been registered with the Securities and Exchange Commission since 2015. Tom is also registered as an Investment Advisor Representative in the state of California. Tom previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Ameriprise Financial Services, Inc., Wells Fargo Advisors, LLC, Northwestern Mutual Investment Services, LLC, RFS Partners, Citigroup Global Markets Inc. and E*TRADE Securities LLC. Tom provides financial planning and portfolio management services to individuals, businesses, and trusts.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Mutual fund fees, broker fees & transaction fees
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2
CA
02/21/2019 - Present
City National Securities, Inc. (SAN FRANCISCO CA)
CA
04/15/2016 - 10/03/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
08/24/2015 - 11/03/2015
AMERIPRISE FINANCIAL SERVICES, INC. (SAN FRANCISCO CA)
CA
04/09/2015 - 06/01/2015
WELLS FARGO ADVISORS, LLC (SAN FRANCISCO CA)
CA
11/28/2011 - 11/05/2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SAN FRANCISCO CA)
CO
07/07/2010 - 09/09/2010
RFS PARTNERS (DENVER CO)
CA
06/16/2008 - 02/24/2009
AMERIPRISE FINANCIAL SERVICES, INC. (SAN FRANCISCO CA)
MA
11/16/2006 - 03/17/2008
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
MA
06/16/2006 - 10/05/2006
E*TRADE SECURITIES LLC (BOSTON MA)
IA
Issued 08/16/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/25/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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