David W. Dorow

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CRD#: 2366305

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David William Dorow, ChFC®, CLU® was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1993. David had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

ADJUNCT FACULTY CUYAHOGA COMMUNITY COLLEGE - INSTRUCTOR FOR A PERSONAL FINANCE CLASS FOR COLLEGE CREDIT. (1 CLASS PER SEMESTER-EVENINGS)6 HOURS PER MONTH. Also, David provides insurance products/solutions to individuals.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Past

January 8, 2020 - March 22, 2024

S.C. THOMAS & ASSOCIATES, CPA, LLC

RIA

CRD#: 121666

MEDINA, OH

Past

August 15, 2019 - December 11, 2019

CITIZENS PRIVATE WEALTH

RIA

CRD#: 106743

CLEVELAND, OH

Past

April 18, 2018 - December 11, 2019

CITIZENS SECURITIES, INC.

CRD#: 39550

CLEVELAND, OH

Past

August 3, 2017 - April 3, 2018

FIDATO WEALTH LLC

RIA

CRD#: 158173

Strongsville, OH

Past

September 7, 2007 - December 31, 2012

VALMARK ADVISERS, INC.

RIA

CRD#: 108050

PEPPER PIKE, OH

Past

August 31, 2007 - April 7, 2017

VALMARK SECURITIES, INC.

CRD#: 31243

PEPPER PIKE, OH

Past

January 1, 2004 - September 12, 2007

CETERA ADVISORS LLC

RIA

CRD#: 10299

PEPPER PIKE, OH

Past

January 1, 2004 - September 12, 2007

CETERA ADVISORS LLC

CRD#: 10299

PEPPER PIKE, OH

Past

December 7, 1999 - January 1, 2004

VESTAX SECURITIES CORPORATION

RIA

CRD#: 10332

PEPPER PIKE, OH

Past

December 7, 1999 - September 7, 2007

RESOURCE STRATEGIES INC

RIA

CRD#: 109881

PEPPER PIKE, OH

Past

June 29, 1994 - January 1, 2004

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

July 2, 1993 - June 29, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 2, 1993 - June 29, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/1/1993

General Securities Representative Examination

Current Firm

S.C. THOMAS & ASSOCIATES, CPA, LLC

S.C. THOMAS & ASSOCIATES, CPA | THOMAS, SANDRA CATHERINE | SANDRA C. THOMAS, CPA | S.C. THOMAS & ASSOCIATES, CPA, LLC

CRD#: 121666 / SEC#: 801-68023

RIA

Registered Investment Advisory firm - (6/18/2012 Terminated)

Ohio

Registered Investment Advisory firm - (6/15/2012 Approved)

Texas

Registered Investment Advisory firm - (9/12/2025 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3599 Reserve Commons Dr, Medina, OH 44256

Mailing Address

Phone number

(330) 725-3162

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	274
AUM (Assets Under Management)	$ 93,016,249

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Texas	ERA - Withdrawn	3/29/2024

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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Firm Stability Insights

David W. Dorow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIZENS PRIVATE WEALTH

CITIZENS SECURITIES, INC.

FIDATO WEALTH LLC

VALMARK ADVISERS, INC.

VALMARK SECURITIES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

VESTAX SECURITIES CORPORATION

RESOURCE STRATEGIES INC

VESTAX SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/27/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/1/1993

Current Firm

S.C. THOMAS & ASSOCIATES, CPA, LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

S.C. THOMAS & ASSOCIATES, CPA, LLC

TRUST BUT VERIFY

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