Dorann J. Cafaro
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.
Dorann Jacobs Cafaro, who also goes by Dorann Jacobs, was a registered financial professional .
Dorann is a previously registered financial professional and started their career in finance in 1984. Dorann had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2014 - December 31, 2018
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
August 20, 2014 - March 30, 2021
GREENLEAF ADVISORS
February 24, 2005 - October 2, 2014
FINANCIAL TELESIS INC
January 20, 2005 - October 2, 2014
FINANCIAL TELESIS INC
May 23, 2002 - February 8, 2005
UBS FINANCIAL SERVICES INC.
May 8, 2000 - February 8, 2005
UBS FINANCIAL SERVICES INC.
August 30, 1997 - October 7, 1998
UBS FINANCIAL SERVICES INC.
July 27, 1995 - September 18, 1997
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - August 2, 1995
CITIGROUP GLOBAL MARKETS INC.
January 14, 1985 - July 31, 1993
LEHMAN BROTHERS INC.
March 28, 1984 - November 2, 1984
BROWN, KNAPP & COMPANY, INC.
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
Series 8
Date: 10/3/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
