Peter R. Dorn
Professional summary
Peter Raymond Dorn, who also goes by Peter R Dorn, is a registered financial professional currently at CAPE SECURITIES INC. located in Mcdonough, Georgia.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1983. Peter has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Raymond Dorn's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 2017 - Present
CAPE SECURITIES INC.
Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253January 15, 2013 - June 7, 2017
WALL STREET STRATEGIES, INC.
April 3, 2012 - November 30, 2012
RICHFIELD ORION INTERNATIONAL, INC.
February 10, 2011 - April 13, 2012
AMERICAN ELITE RETIREMENT
September 3, 2003 - December 31, 2010
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 3, 2002 - September 3, 2003
BROKER DEALER FINANCIAL SERVICES CORP.
August 7, 1992 - January 7, 2002
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
April 11, 1991 - August 18, 1992
JOHN G. KINNARD AND COMPANY, INCORPORATED
June 1, 1987 - April 24, 1991
DICKINSON & CO.
January 23, 1984 - June 5, 1987
UBS FINANCIAL SERVICES INC.
March 1, 1983 - February 9, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/16/2017)
(6/16/2017)
(1/3/2022)
(6/16/2017)
(7/14/2017)
(6/19/2017)
(10/17/2022)
(3/28/2022)
(5/27/2020)
(6/16/2017)
(8/21/2025)
(6/20/2017)
Exams
Series 5
Date: 3/2/1983
Interest Rate Options ExaminationFINRA
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
