Adam L. Orlick
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.
Adam Lawrence Orlick was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1987. Adam had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 12 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2016 - October 5, 2017
DINOSAUR FINANCIAL GROUP, L.L.C
November 26, 2014 - December 6, 2016
CANTONE RESEARCH INC.
July 14, 1996 - November 24, 2014
W.A. CAPITAL MARKETS
August 20, 1992 - May 23, 1996
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 25, 1989 - July 27, 1992
ANGLO-AMERICAN INVESTOR SERVICES CORP.
February 8, 1989 - April 6, 1989
RESOURCE MANAGEMENT ASSOCIATES, GSI
January 28, 1988 - January 26, 1989
MCG PORTFOLIO MANAGEMENT CORP.
September 22, 1987 - January 9, 1988
HYM FINANCIAL, INC.
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
Series 12
Date: 4/5/2004
NYSE Branch Manager ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
