Dory Alan Wiley
Professional Summary
Dory Alan Wiley is a registered financial advisor currently at COMMERCE STREET INVESTMENT MANAGEMENT located in Dallas, Texas and COMMERCE STREET CAPITAL, LLC located in Dallas, Texas. Dory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Dory has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7 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.
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
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.
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.
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Years of Experience
36 years in the financial services industry
Current & Past Employments
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current Firm
CLARIS CAPITAL PARTNERS | COMMERCE STREET PEAK ADVISORS | COMMERCE STREET INVESTMENT MANAGEMENT | COMMERCE STREET INVESTMENT ADVISOR, LLC
Contact Information
Main Address
1445 Ross Avenue, Suite 2700, Dallas, TX 75202Phone Number
(214) 545-6800# of Employees
14SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
64AUM (Assets Under Management)
$891,286,277Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
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.
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Primary Firm SEC Registration
CLARIS CAPITAL PARTNERS | COMMERCE STREET PEAK ADVISORS | COMMERCE STREET INVESTMENT MANAGEMENT | COMMERCE STREET INVESTMENT ADVISOR, LLC
State Registrations and Notice Filings
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/7/2009)
(1/6/2009)
(1/7/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(9/18/2007)
(10/1/2008)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
(1/6/2009)
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 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRS (Client Relationship Summary) - RIA
Click below to view Dory Alan Wiley's CRS (Customer Relationship Summary).
Similar Advisors
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
