# Dorothy Ann Sperry

Dorothy Ann Sperry is an investment adviser representative (IAR) with state registration records since 2004, appearing at 11 firms. Currently registered with CHARLES SCHWAB & CO., INC..

## Registration history (13)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [CHARLES SCHWAB & CO., INC.](https://search.stillhousedata.com/firm/5393) | 2023-09-05 | present | Yes |
| [EMPOWER ADVISORY GROUP, LLC](https://search.stillhousedata.com/firm/112058) | 2022-03-08 | 2023-08-16 | — |
| [TD AMERITRADE, INC.](https://search.stillhousedata.com/firm/7870) | 2020-04-29 | 2022-02-02 | — |
| [TD AMERITRADE INVESTMENT MANAGEMENT, LLC](https://search.stillhousedata.com/firm/111514) | 2020-04-07 | 2022-02-02 | — |
| [FINANCIAL ENGINES ADVISORS L.L.C.](https://search.stillhousedata.com/firm/104510) | 2019-10-15 | 2020-03-11 | — |
| [TD AMERITRADE, INC.](https://search.stillhousedata.com/firm/7870) | 2018-02-28 | 2019-08-29 | — |
| [TD AMERITRADE INVESTMENT MANAGEMENT, LLC](https://search.stillhousedata.com/firm/111514) | 2018-02-26 | 2019-08-29 | — |
| [SCOTTRADE INVESTMENT MANAGEMENT](https://search.stillhousedata.com/firm/169988) | 2017-04-04 | 2018-02-26 | — |
| [FOUNTAIN FINANCIAL ASSOCIATES, INC.](https://search.stillhousedata.com/firm/174760) | 2016-04-29 | 2016-08-17 | — |
| [STRATEGIC ADVISERS LLC](https://search.stillhousedata.com/firm/104555) | 2013-07-15 | 2016-02-01 | — |
| [PRUCO SECURITIES, LLC](https://search.stillhousedata.com/firm/5685) | 2011-04-20 | 2013-05-31 | — |
| [EQUITABLE ADVISORS, LLC](https://search.stillhousedata.com/firm/6627) | 2008-12-23 | 2011-04-18 | — |
| [VALIC FINANCIAL ADVISORS, INC.](https://search.stillhousedata.com/firm/42803) | 2004-04-14 | 2008-12-22 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/4635917)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/4635917.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.