Dorothy I. Palfini
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.
Dorothy Irene Palfini, who also goes by Dorothy I Palfini, was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1986. Dorothy had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2023 - December 31, 2024
CAVALOT CAPITAL
April 20, 2009 - January 11, 2023
OSAIC SERVICES, INC.
October 31, 2005 - January 11, 2023
OSAIC SERVICES, INC.
July 8, 2003 - September 9, 2003
SUNAMERICA SECURITIES, INC.
December 10, 1997 - October 31, 2005
SUNAMERICA SECURITIES, INC.
November 19, 1989 - April 22, 1993
OSAIC WEALTH, INC.
January 25, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
January 25, 1988 - November 19, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 25, 1988 - November 19, 1997
OSAIC FA, INC.
December 24, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 21, 1986 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAVALOT CAPITAL
CRD#: 312088 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 277 |
| AUM (Assets Under Management) | $ 57,398,294 |
Red Flags
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