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BD

Barry L. Dorfman

SPENCER CLARKE LLC
Miami Beach, FL 33139
Some features on this profile are disabled
CRD#: 2440385
BD

Professional summary

Barry Lawrence Dorfman is a registered financial professional currently at SPENCER CLARKE LLC located in Miami Beach, Florida.

Barry is registered as a RR (Registered Representative) and started their career in finance in 1994. Barry has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Barry Lawrence 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 8, 2023 - Present

SPENCER CLARKE LLC

Office #1: 1111 Lincoln Road Suite 500, Miami Beach, FL 33139
BD
CRD#: 41316
Miami Beach, FL
Past

February 16, 2023 - November 14, 2023

ENTORO SECURITIES, LLC

BD
CRD#: 35192
HOUSTON, TX
Past

May 11, 2015 - February 14, 2023

CAPLINK SECURITIES, INC

BD
CRD#: 130702
MANHATTAN BEACH, CA
Past

March 4, 2013 - October 16, 2014

GLOBAL-AMERICAN INVESTMENTS, INC.

BD
CRD#: 41802
WALNUT, CA
Past

January 4, 2011 - September 16, 2011

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

August 5, 2010 - November 4, 2010

SSC NY CORP.

BD
CRD#: 29804
NEW YORK, NY
Past

July 24, 2009 - March 30, 2010

SOUTHRIDGE INVESTMENT GROUP LLC

BD
CRD#: 45531
RIDGEFIELD, CT
Past

April 18, 2006 - January 14, 2009

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

September 19, 2000 - December 5, 2003

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY
Past

December 11, 1997 - October 15, 1998

CARLIN EQUITIES, LLC

BD
CRD#: 31295
NEW YORK, NY
Past

October 5, 1994 - November 7, 1997

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY

State Registrations and Notice Filings

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

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
Florida
(11/20/2023)
RR
Massachusetts
(4/29/2024)
RR
New Jersey
(7/31/2024)
RR
New York
(4/26/2024)
RR
North Carolina
(8/13/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/14/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/4/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SPENCER CLARKE LLC
SPENCER CLARKE L.P. | SPENCER CLARKE LLC

CRD#: 41316 / SEC#: , 8-49362

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1801 N.e. 123rd St. Suite 314, North Miami, FL 33181
Mailing Address
1801 N.e. 123rd St. Suite 314, North Miami, FL 33181
Phone number
(305) 600-3268
Established
New York since 10/28/1998
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (31 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SPENCER CLARKE MANAGEMENT LLCHOLDING COMPANY
DRESCHER, REID HOWARDPRESIDENT & CEO, MANAGING MEMBER2115274
NIXON, JON ALANFINOP4710715
SMULEVITZ, CHARLES DAVIDCHIEF COMPLIANCE OFFICER5099387

Disclosures

Regulatory Event4

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

SPENCER CLARKE LLC

CRD#: 41316Miami Beach, FL 33139

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