Dorothy Theresa Dausend
Professional Summary
Dorothy Theresa Dausend is a registered financial advisor currently at YORK STOCKBROKERS, INC. located in New York, New York and LEAGUE CAPITAL MARKETS located in New York, New York. Dorothy is registered as a RR (Registered Representative) and started their career in finance in 1999. Dorothy has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
FORT GHENT BROKERAGE LLC | LEAGUE CAPITAL MARKETS
Contact Information
Main Address
1345 Avenue Of The Americas 2nd Floor, New York, NY 10105Mailing Address
1345 Avenue Of The Americas 2nd Floor, New York, NY 10105Phone Number
(212) 588-0580Established
New York since 11/01/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (14 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(4/22/2025)
(3/9/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Dorothy Theresa Dausend's CRS (Customer Relationship Summary).
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