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JD

James F. Dorn

WORLD CAPITAL BROKERAGE
Denver, CO 80203
Some features on this profile are disabled
CRD#: 1627686
JD

Professional summary

James Frederick Dorn is a registered financial professional currently at WORLD CAPITAL BROKERAGE, INC. located in Denver, Colorado.

James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 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 James Frederick Dorn'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

October 1, 2021 - Present

WORLD CAPITAL BROKERAGE, INC.

Office #1: 1636 Logan Street, Denver, CO 80203
BD
CRD#: 37
Denver, CO
Past

October 26, 2012 - October 4, 2021

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
WEST PALM BEACH, FL
Past

October 24, 2005 - November 2, 2012

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
WEST PALM BEACH, FL
Past

March 29, 2004 - October 24, 2005

C. J. M. PLANNING CORP.

BD
CRD#: 5698
POMPTON LAKES, NJ
Past

May 28, 1999 - March 16, 2004

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

October 26, 1994 - June 2, 1999

GILMORE SECURITIES & CO.

BD
CRD#: 27210
FORT LEE, NJ
Past

June 6, 1994 - October 26, 1994

POLARIS FINANCIAL SERVICES, INC.

BD
CRD#: 14521
CONCORD, NH
Past

January 23, 1990 - December 31, 1993

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
ATLANTA, GA
Past

March 31, 1989 - October 23, 1989

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

February 24, 1987 - March 31, 1989

LOWRY FINANCIAL SERVICES CORPORATION

BD
CRD#: 7291

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
(10/1/2021)
RR
Massachusetts
(10/1/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/25/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/31/1987
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: 2/21/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/25/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/15/1988
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WORLD CAPITAL BROKERAGE, INC.
WORLD CAPITAL BROKERAGE, INC.
A.G.F. SPONSORS, INC. | WORLD CAPITAL BROKERAGE, INC. | AMERICAN GROWTH FUND SPONSORS, INC.

CRD#: 37 / SEC#: , 8-6805

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1636 N. Logan Street, Denver, CO 80203
Mailing Address
1636 N. Logan Street, Denver, CO 80203
Phone number
(303) 626-0631
Established
Colorado since 07/18/1958
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AGF HOLDINGS INC.OWNER
BLUM, PATRICIA ANNVICE PRESIDENT4467584
GAUGHAN, MICHAEL LAWRENCEVICE PRESIDENT, SECRETARY2915597
TAGGART, TIMOTHY EUGENECHIEF FINANCIAL OFFICER, PRESIDENT, CHIEF COMPLIANCE OFFICER, TREASURER, SALES, MARKETING, TRAINING & DIRECTOR1075525

Disclosures

Regulatory Event3

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

WORLD CAPITAL BROKERAGE, INC.

WORLD CAPITAL BROKERAGE, INC.

CRD#: 37Denver, CO 80203

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