Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Dorfman is a financial advisor with over 20 years of experience in the financial services industry. Richard is currently registered with Money Concepts Capital Corp. in Palm Beach Gardens, Florida and previously held registrations with Kovack Securities Inc., Fidelity Brokerage Services LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, Cetera Advisor Networks LLC, Summit Brokerage Services, Inc., VSR Financial Services, Inc., T3 Trading Group, LLC, PNC Investments, TD Ameritrade, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Assent LLC, Dreyfus Service Corporation, Gruntal & Co., L.L.C., MetLife Securities Inc., Metropolitan Life Insurance Company, Lord, Abbett & Co., and Mitchell Hutchins Asset Management Inc. Richard is a Registered Representative and Investment Advisor Representative, holding Series 7, 63, 66, 24, 52TO, 55 and 57TO licenses. Richard specializes in providing financial planning, portfolio management for businesses and individuals, and general consulting services.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
General consulting services
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.
A percentage of the total value of assets under management is charged.
Solicitor fee
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2
FL
06/26/2024 - Present
Money Concepts Capital Corp. (PALM BEACH GARDENS FL)
FL
12/04/2023 - 01/11/2024
KOVACK SECURITIES INC. (FT. LAUDERDALE FL)
RI
02/09/2023 - 07/19/2023
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
CO
03/30/2022 - 12/06/2022
CETERA ADVISORS LLC (GREENWOOD VILLAGE CO)
IL
03/30/2022 - 12/06/2022
CETERA FINANCIAL SPECIALISTS LLC (SCHAUMBURG IL)
MN
03/30/2022 - 12/06/2022
CETERA INVESTMENT SERVICES LLC (ST. CLOUD MN)
FL
02/26/2016 - 12/06/2022
CETERA ADVISOR NETWORKS LLC (BOCA RATON FL)
FL
12/03/2015 - 12/03/2019
SUMMIT BROKERAGE SERVICES, INC. (BOCA RATON FL)
FL
01/19/2016 - 11/29/2016
VSR FINANCIAL SERVICES, INC. (Boca Raton FL)
CA
12/03/2015 - 01/19/2016
CETERA ADVISOR NETWORKS LLC (EL SEGUNDO CA)
CO
12/03/2015 - 01/19/2016
CETERA ADVISORS LLC (GREENWOOD VILLAGE CO)
IL
12/03/2015 - 01/19/2016
CETERA FINANCIAL SPECIALISTS LLC (SCHAUMBURG IL)
MN
12/03/2015 - 01/19/2016
CETERA INVESTMENT SERVICES LLC (ST. CLOUD MN)
NY
03/03/2014 - 12/19/2014
T3 TRADING GROUP, LLC (NEW YORK NY)
FL
05/21/2013 - 08/13/2013
PNC INVESTMENTS (BOYNTON BEACH FL)
FL
10/24/2011 - 03/20/2013
TD AMERITRADE, INC. (PONTE VEDRA BEACH FL)
FL
07/09/2010 - 01/03/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JACKSONVILLE FL)
FL
11/11/2003 - 05/18/2010
ASSENT LLC (MIAMI FL)
NY
03/02/2001 - 11/24/2003
DREYFUS SERVICE CORPORATION (NEW YORK NY)
NY
07/23/1999 - 02/28/2001
GRUNTAL & CO., L.L.C. (NEW YORK NY)
MA
12/11/1998 - 03/02/1999
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
12/11/1998 - 03/02/1999
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NJ
12/15/1995 - 04/01/1996
LORD, ABBETT & CO. (JERSEY CITY NJ)
NY
08/29/1995 - 11/10/1995
MITCHELL HUTCHINS ASSET MANAGEMENT INC. (NEW YORK NY)
BOTH
Issued 08/18/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/18/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/16/2019
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/07/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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