Mark Dorfman
Professional Summary
Mark Dorfman is a registered financial advisor currently at COMPREHENSIVE CAPITAL MANAGEMENT, INC. located in Lynbrook, New York and NOSURIS, INC. located in Lynbrook, New York. Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Mark has worked at 11 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 51 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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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
NOSURIS, INC.
Contact Information
Main Address
700 Merrick Road, Lynbrook, NY 11563-2327Phone Number
(516) 887-7788# of Employees
2SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
450AUM (Assets Under Management)
$95,000,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
NOSURIS, INC.
State Registrations and Notice Filings
(6/21/2017)
(3/13/2020)
(3/18/2009)
(3/19/2009)
(1/5/2012)
(3/19/2009)
(3/24/2009)
(3/19/2009)
(2/9/2021)
(2/14/2019)
(9/25/2019)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Mark Dorfman's CRS (Customer Relationship Summary).
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