DW
Dory A. Wiley
COMMERCE STREET INVESTMENT MANAGEMENT
Dallas, TX 75202
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CRD#: 2034240
DW
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.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Dory A. Wiley is President & CEO of Commerce Street Holdings, LLC, the holding company for Commerce Street Capital, LLC, a FINRA member broker dealer and Commerce Street Investment Advisor, LLC, an SEC-registered investment advisor ("RIA"). Mr. Wiley leads the day-to-day activities of the broker dealer and the RIA. He is a general securities principal of the broker dealer and an investment adviser representative of the RIA. The RIA currently advises retirement plans, separate accounts, and private equity funds in a fiduciary capacity. Of the three private equity funds currently advised by the RIA, Mr. Wiley is a principal of each fund's general partner ("GP") and the GP's associated entity whether formed as a limited partnership or limited liability company. A full listing of the private equity fund advised by Commerce Street Investment Advisors can be found at the SEC's Investment Adviser Public Disclosure website at www.adviserinfo.sec.gov. Mr. Wiley also serves on the board of a number of non-investment related charitable and civic organizations.
CRS (Client Relationship Summary) - RIA
Click below to view Dory Alan Wiley's 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®
NoneExperience
Current
October 1, 2008 - Present
COMMERCE STREET INVESTMENT MANAGEMENT
Office #1: 1445 Ross Avenue, Suite 2700, Dallas, TX 75202RIA
CRD#: 144278
Dallas, TX
Current
September 18, 2007 - Present
COMMERCE STREET CAPITAL, LLC
Office #1: 1445 Ross Ave. Suite 2700, Dallas, TX 75202BD
CRD#: 143797
Dallas, TX
Past
May 19, 2006 - October 1, 2007
SAMCO CAPITAL MARKETS, INC.
BD
CRD#: 136532
DALLAS, TX
Past
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
BD
CRD#: 25866
DALLAS, TX
Past
July 20, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
BD
CRD#: 47157
AUSTIN, TX
Past
August 13, 1996 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
BD
CRD#: 25866
DALLAS, TX
Past
February 16, 1990 - June 10, 1996
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
COMMERCE STREET INVESTMENT MANAGEMENT
CLARIS CAPITAL PARTNERS | COMMERCE STREET PEAK ADVISORS | COMMERCE STREET INVESTMENT MANAGEMENT | COMMERCE STREET INVESTMENT ADVISOR, LLC
CRD#: 144278 / SEC#: 801-68792
RIA
Registered Investment Advisory firm - (1/22/2008 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(1/6/2009)
RR
Alaska(1/6/2009)
RR
Arizona(1/6/2009)
RR
Arkansas(1/6/2009)
RR
California(1/6/2009)
RR
Colorado(1/6/2009)
RR
Connecticut(1/6/2009)
RR
Delaware(1/6/2009)
RR
District of Columbia(1/6/2009)
RR
Florida(1/6/2009)
RR
Georgia(1/6/2009)
RR
Hawaii(1/6/2009)
RR
Idaho(1/6/2009)
RR
Illinois(1/6/2009)
RR
Indiana(1/6/2009)
RR
Iowa(1/6/2009)
RR
Kansas(1/6/2009)
RR
Kentucky(1/6/2009)
RR
Louisiana(1/6/2009)
RR
Maine(1/6/2009)
RR
Maryland(1/6/2009)
RR
Massachusetts(1/6/2009)
RR
Michigan(1/6/2009)
RR
Minnesota(1/6/2009)
RR
Mississippi(1/6/2009)
RR
Missouri(1/6/2009)
RR
Montana(1/6/2009)
RR
Nebraska(1/6/2009)
RR
Nevada(1/6/2009)
RR
New Hampshire(1/6/2009)
RR
New Jersey(1/6/2009)
RR
New Mexico(1/6/2009)
RR
New York(1/6/2009)
RR
North Carolina(1/7/2009)
RR
North Dakota(1/6/2009)
RR
Ohio(1/7/2009)
RR
Oklahoma(1/6/2009)
RR
Oregon(1/6/2009)
RR
Pennsylvania(1/6/2009)
RR
Rhode Island(1/6/2009)
RR
South Carolina(1/6/2009)
RR
South Dakota(1/6/2009)
RR
Tennessee(1/6/2009)
RR
Texas(9/18/2007)
IAR
Texas(10/1/2008)
RR
Utah(1/6/2009)
RR
Vermont(1/6/2009)
RR
Virginia(1/6/2009)
RR
Washington(1/6/2009)
RR
West Virginia(1/6/2009)
RR
Wisconsin(1/6/2009)
RR
Wyoming(1/6/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
COMMERCE STREET INVESTMENT MANAGEMENT
CLARIS CAPITAL PARTNERS | COMMERCE STREET PEAK ADVISORS | COMMERCE STREET INVESTMENT MANAGEMENT | COMMERCE STREET INVESTMENT ADVISOR, LLC
CRD#: 144278 / SEC#: 801-68792
RIA
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Contact information
Main Address
1445 Ross Avenue, Suite 2700, Dallas, TX 75202
Mailing Address
Phone number
(214) 545-6800
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76 |
| AUM (Assets Under Management) | $ 876,451,597 |
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
COMMERCE STREET INVESTMENT MANAGEMENT
CRD#: 144278Dallas, TX 75202TRUST BUT VERIFY
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Contact information
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