Dolph M. Tokarczyk

SEAPORT GLOBAL SECURITIES LLC

New York, NY 10017

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CRD#: 2082844

Professional summary

Dolph Michael Tokarczyk, who also goes by Dolph M Tokartzyk, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in New York, New York.

Dolph is registered as a RR (Registered Representative) and started their career in finance in 1991. Dolph has worked at 6 firms and has passed the Series 63, Series 72, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dolph M Tokartzyk

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 Dolph Michael Tokarczyk'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

September 3, 2019 - Present

SEAPORT GLOBAL SECURITIES LLC

Office #1: 360 Madison Ave 22nd Floor, New York, NY 10017

CRD#: 116270

New York, NY

Past

June 23, 2008 - April 16, 2019

MIZUHO SECURITIES USA LLC

CRD#: 19647

NEW YORK, NY

Past

June 19, 2006 - June 23, 2008

ABN AMRO INCORPORATED

CRD#: 15776

NEW YORK, NY

Past

October 3, 2005 - October 1, 2007

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

August 31, 2004 - October 5, 2005

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

June 13, 2002 - September 3, 2004

COMMERZBANK CAPITAL MARKETS CORP.

CRD#: 21787

NEW YORK, NY

Past

December 6, 1994 - June 20, 2002

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

November 15, 1991 - August 25, 1992

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(9/4/2019)

Alaska
(9/4/2019)

Arizona
(9/6/2019)

Arkansas
(9/6/2019)

California
(9/3/2019)

Colorado
(9/4/2019)

Connecticut
(9/4/2019)

Delaware
(9/9/2019)

District of Columbia
(9/5/2019)

Florida
(9/4/2019)

Georgia
(9/4/2019)

Hawaii
(9/4/2019)

Idaho
(9/3/2019)

Illinois
(9/18/2019)

Indiana
(9/10/2019)

Iowa
(9/5/2019)

Kansas
(9/10/2019)

Kentucky
(9/5/2019)

Louisiana
(9/5/2019)

Maine
(9/3/2019)

Maryland
(9/3/2019)

Massachusetts
(9/4/2019)

Michigan
(9/5/2019)

Minnesota
(9/18/2019)

Mississippi
(9/4/2019)

Missouri
(9/9/2019)

Montana
(9/4/2019)

Nebraska
(9/4/2019)

Nevada
(9/13/2019)

New Hampshire
(9/4/2019)

New Jersey
(9/9/2019)

New Mexico
(9/5/2019)

New York
(9/4/2019)

North Carolina
(9/4/2019)

North Dakota
(9/11/2019)

Ohio
(9/3/2019)

Oklahoma
(9/4/2019)

Oregon
(9/20/2019)

Pennsylvania
(9/3/2019)

Puerto Rico
(9/16/2019)

Rhode Island
(9/10/2019)

South Carolina
(9/5/2019)

South Dakota
(9/9/2019)

Tennessee
(9/5/2019)

Texas
(9/3/2019)

Utah
(9/3/2019)

Vermont
(9/4/2019)

Virginia
(9/5/2019)

Washington
(9/5/2019)

West Virginia
(9/17/2019)

Wisconsin
(9/4/2019)

Wyoming
(9/5/2019)

Exams

State Security Law Exam

Series 63

Date: 12/29/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 72

Date: 1/2/2023

Government Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/1/1991

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270 / SEC#: , 8-53535

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

360 Madison Ave 22nd Floor, New York, NY 10017

Mailing Address

360 Madison Ave 22nd Floor, New York, NY 10017

Phone number

(212) 616-7700

Established

Delaware since 05/04/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SEAPORT GLOBAL HOLDINGS LLC	PARENT COMPANY
MEAGHER, MICHAEL JEFFERSON	CEO	1755168
MEYER, MICHAEL JOHN	FIXED INCOME TRADING SUPERVISOR	1746788
SMITH, STEPHEN CORCORAN	TREASURER	1248750
WITTHAUT, MARKUS CLEMENS	FINOP/CCO/CFO/PFO	4480831

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Dolph M. Tokarczyk

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dolph Michael Tokarczyk's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIZUHO SECURITIES USA LLC

ABN AMRO INCORPORATED

LASALLE FINANCIAL SERVICES, INC.

ABN AMRO INCORPORATED

COMMERZBANK CAPITAL MARKETS CORP.

ABN AMRO INCORPORATED

GRUNTAL & CO., L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/29/1994

Series 72

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/1/1991

FINRA

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

SEAPORT GLOBAL SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SEAPORT GLOBAL SECURITIES LLC

TRUST BUT VERIFY

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