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MD

Mark Dorfman

SEASONS OF ADVICE WEALTH MANAGEMENT
New York, NY 10036
Some features on this profile are disabled
CRD#: 2054448
MD

Professional summary

Mark Dorfman is a registered financial advisor currently at SEASONS OF ADVICE WEALTH MANAGEMENT located in New York, New York.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Mark has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.
BUSINESS OWNERSHIP ; MD PRODUCTION; PRESIDENT; OIL & GAS EXPOLORATION; DALLAS, TEXAS 75231; 1-9 HRS PER MONTH. BOARDS OF DIRECTORS ; ART 21; ART21 IS A NOT FOR PROFIT 501(C)3 ORANIZATION; ART21 IS THE PRODUCER OF THE PEABODY AWARD WINNING TELEVISION SERIES, ART IN THE 21ST CENTURY; TRUSTEE; NYC, NY 10001; NO; SEPTEMBER 2014; 1-9 HRS PER MONTH; 0 DURING TRADING HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Dorfman'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

November 2, 2020 - Present

SEASONS OF ADVICE WEALTH MANAGEMENT

Office #1: 120 West 45th Street 14th Floor, New York, NY 10036
RIA
CRD#: 310448
New York, NY
Past

February 7, 2017 - November 2, 2020

SEASONS OF ADVICE WEALTH MANAGEMENT, LLC

RIA
CRD#: 285925
NEW YORK, NY
Past

February 7, 2011 - January 9, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
NEW YORK, NY
Past

October 4, 2006 - December 31, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
NEW YORK, NY
Past

August 17, 2001 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 17, 2001 - January 9, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
NEW YORK, NY

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".
SO
SEASONS OF ADVICE WEALTH MANAGEMENT
SEASONS OF ADVICE WEALTH MANAGEMENT | SOA WEALTH ADVISORS, LLC

CRD#: 310448 / SEC#: 801-119603

RIA
Registered Investment Advisory firm - (10/20/2020 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.

Highlighted states indicate IAR registrations

IAR
New York
(8/8/2022)
IAR
Texas
(11/2/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/27/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/9/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/2001
General Securities Representative Examination

Current Firm

SO
SEASONS OF ADVICE WEALTH MANAGEMENT
SEASONS OF ADVICE WEALTH MANAGEMENT | SOA WEALTH ADVISORS, LLC

CRD#: 310448 / SEC#: 801-119603

RIA
Registered Investment Advisory firm - (10/20/2020 Approved)
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Contact information

Main Address
120 West 45th Street, New York, NY 10036
Mailing Address
Phone number
(212) 977-3111
Established
Firm type
Fiscal year end
# of Employees
21

SEC notice filing (17 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SOA WEALTH ADVISORS, LLC (3/28/2025)
SOA WEALTH ADVISORS, LLC WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts3,332
AUM (Assets Under Management)$ 1,061,108,098

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

SEASONS OF ADVICE WEALTH MANAGEMENT

CRD#: 310448New York, NY 10036

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