Dominic Nori
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.
Dominic Nori was a registered financial professional .
Dominic is a previously registered financial professional and started their career in finance in 1984. Dominic had worked at 6 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 52, Series 24, Series 27 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2013 - February 13, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 3, 2013 - February 13, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 28, 2013 - December 11, 2013
PRIVATE WEALTH MANAGEMENT AT HEATHROW
August 7, 2001 - September 26, 2013
LPL FINANCIAL LLC
August 7, 2001 - September 26, 2013
LPL FINANCIAL LLC
January 25, 1990 - September 18, 2001
HENNION & WALSH, INC.
October 16, 1984 - January 2, 1990
MUNICIPAL INVESTORS SERVICE, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
