Richard Dorso
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Dorso was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2015 - January 20, 2017
NORTH RIDGE SECURITIES CORP.
February 15, 2007 - October 28, 2015
NATIONWIDE PLANNING ASSOCIATES INC.
November 7, 2001 - March 2, 2007
WHITE MOUNTAIN CAPITAL, LLC
November 17, 1987 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
November 17, 1987 - January 9, 2002
MML INVESTORS SERVICES, LLC
April 20, 1985 - October 23, 1987
ROBERT W. BAIRD & CO. INCORPORATED
September 7, 1983 - November 4, 1987
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NORTH RIDGE SECURITIES CORP.
CRD#: 27098 / SEC#: 801-108451, 8-42879
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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