AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
EH

Edward B. Haggerty

DOMINARI SECURITIES LLC
Garden City, NY 11530
Some features on this profile are disabled
CRD#: 1370834
EH

Professional summary

Edward Brian Haggerty is a registered financial professional currently at DOMINARI SECURITIES LLC located in Garden City, New York.

Edward is registered as a RR (Registered Representative) and started their career in finance in 1985. Edward has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Edward Brian Haggerty's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 4, 2024 - Present

DOMINARI SECURITIES LLC

Office #1: 960 Franklin Ave 1st Floor, Garden City, NY 11530
RIA
BD
CRD#: 18975
Garden City, NY
Past

September 1, 2017 - March 28, 2024

AEGIS CAPITAL CORP.

BD
CRD#: 15007
Garden City, NY
Past

January 24, 2007 - September 29, 2017

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
MINEOLA, NY
Past

December 1, 2003 - February 5, 2007

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
PORT WASHINGTON, NY
Past

October 18, 2002 - December 31, 2003

THE CONCORD EQUITY GROUP, LLC

BD
CRD#: 14569
ISELIN, NJ
Past

January 2, 2002 - October 21, 2002

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

July 25, 2000 - January 2, 2002

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

February 5, 1999 - July 27, 2000

DRAKE & COMPANY, INC.

BD
CRD#: 16227
NEW YORK, NY
Past

January 1, 1988 - February 5, 1999

PARAGON CAPITAL MARKETS, INC.

BD
CRD#: 18555
EAST HANOVER, NJ
Past

July 10, 1987 - February 2, 1988

STEINBERG & LYMAN

BD
CRD#: 15704
Past

July 24, 1985 - July 1, 1987

D. H. BLAIR & CO., INC.

BD
CRD#: 6833

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DS
DOMINARI SECURITIES LLC
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS

CRD#: 18975 / SEC#: 801-78295, 8-37105

RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)
Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)
Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)
Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)
Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)
Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)
Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(3/4/2024)
RR
Georgia
(3/4/2024)
RR
Illinois
(5/2/2025)
RR
New Jersey
(3/4/2024)
RR
New York
(3/4/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/12/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/3/1990
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DOMINARI SECURITIES LLC
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS

CRD#: 18975 / SEC#: 801-78295, 8-37105

RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)
Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)
Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)
Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)
Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)
Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)
Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Mailing Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Phone number
(212) 393-4500
Established
Delaware since 04/05/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
11

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

DOMINARI SECURITIES ADV PART 2 BROCHURE (2025) (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
DOMINARI FINANCIAL, INC.OWNER
CAMPBELL, ROBERT NMNFINOP1349154
DEIGNAN, EDWARD PHILIP JRPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER4597976
MERCADO, JAIMECHIEF COMPLIANCE OFFICER, AMLCO2863760
NEWMAN, ERICEVP/ROP2509259
WILLIAMS, JOHN MARSHALLCOMPLIANCE OFFICER2833948
WOOL, KYLE MICHAELCEO/ PRESIDENT4238101

Regulatory assets under management

Total Number of Accounts235
AUM (Assets Under Management)$ 41,647,787

Disclosures

Regulatory Event5

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.

Company Information

DOMINARI SECURITIES LLC

CRD#: 18975Garden City, NY 11530

TRUST BUT VERIFY

Monitor Edward Haggerty

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
Matthew James Borja Wang
Matthew James WangAdvisorCheck Check Mark
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics