Richard O. Dorman
Professional summary
Richard Otis Dorman JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard Otis Dorman JR was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1992. Richard had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 2, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2008 - September 8, 2009
NATCITY INVESTMENTS, INC.
July 28, 2008 - September 8, 2009
NATCITY INVESTMENTS, INC.
March 28, 2007 - July 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 12, 2007 - July 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 2006 - March 13, 2007
CITIGROUP GLOBAL MARKETS INC.
August 17, 2004 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
May 30, 2003 - June 8, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 30, 2003 - June 8, 2004
OSAIC FA, INC.
April 19, 2000 - March 28, 2003
CITISTREET EQUITIES LLC
July 1, 1996 - March 31, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 5, 1994 - July 1, 1996
NATIONWIDE SECURITIES, LLC
September 16, 1992 - December 31, 1994
LOCUST STREET SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 5/24/1996
Non-Member General Securities ExaminationCurrent Firm
NATCITY INVESTMENTS, INC.
CRD#: 17490 / SEC#: , 8-35288
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PNC FINANCIAL SERVICES GROUP, INC. | PARENT | |
| FABRIZI, SILVIO PAUL | CHIEF COMPLIANCE OFFICER | 4321545 |
| MCLAUGHLIN, CHARLOTTE BEHM | PRESIDENT AND CHIEF EXECUTIVE OFFICER - CAPITAL MARKETS | 2849217 |
| SINGER, DOUGLAS LAWRENCE | PRESIDENT AND CHIEF EXECUTIVE OFFICER - RETAIL | 1721973 |
| SUHANIC, JEFFREY DREW | SENIOR VICE PRESIDENT, DIRECTOR | 2124910 |
| TANNER, LEONARD EUGENE | VICE CHAIRMAN | 442470 |
| WILSON, CHARLENE FAITH | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, AND TREASURER | 1935747 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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