James E. Dorman
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.
James Edward Dorman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 9 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 15, 2008 - September 15, 2017
INVESTACORP, INC.
July 20, 2001 - December 22, 2008
EMPIRE FINANCIAL GROUP, INC.
May 29, 1997 - July 20, 2001
CENTENNIAL CAPITAL MANAGEMENT, INC.
August 14, 1990 - May 21, 1997
WORLD INVEST CORPORATION
March 9, 1989 - August 14, 1990
GLOBAL INVESTOR SECURITIES, INC.
November 16, 1987 - March 28, 1989
HUTTOE & ASSOCIATES, INC.
April 8, 1987 - August 4, 1987
SENTRA SECURITIES CORPORATION
November 15, 1985 - May 19, 1987
PROFILE INVESTMENTS CORPORATION
February 27, 1984 - February 18, 1986
GLOBAL INVESTOR SECURITIES, INC.
September 7, 1983 - September 13, 1988
GUARDIAN INVESTOR SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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