Richard B. Dorfman
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.
Richard Brian Dorfman, who also goes by Richard B Dorfman, Richard Brian Dorfman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 23 firms and has passed the Series 66, Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2024 - January 28, 2026
MONEY CONCEPTS CAPITAL CORP
June 25, 2024 - January 28, 2026
MONEY CONCEPTS CAPITAL CORP
December 6, 2023 - January 11, 2024
KOVACK ADVISORS, INC.
December 4, 2023 - January 11, 2024
KOVACK SECURITIES INC.
February 27, 2023 - August 3, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 9, 2023 - July 19, 2023
FIDELITY BROKERAGE SERVICES LLC
March 30, 2022 - December 6, 2022
CETERA INVESTMENT SERVICES LLC
March 30, 2022 - December 6, 2022
CETERA FINANCIAL SPECIALISTS LLC
March 30, 2022 - December 6, 2022
CETERA ADVISORS LLC
August 20, 2021 - December 6, 2022
CETERA WEALTH SERVICES, LLC
February 26, 2016 - December 6, 2022
CETERA WEALTH SERVICES, LLC
January 19, 2016 - November 29, 2016
VSR FINANCIAL SERVICES, INC.
December 3, 2015 - January 19, 2016
CETERA INVESTMENT SERVICES LLC
December 3, 2015 - January 19, 2016
CETERA FINANCIAL SPECIALISTS LLC
December 3, 2015 - January 19, 2016
CETERA ADVISORS LLC
December 3, 2015 - January 19, 2016
CETERA WEALTH SERVICES, LLC
December 3, 2015 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
March 3, 2014 - December 19, 2014
T3 TRADING GROUP, LLC
May 21, 2013 - August 13, 2013
PNC WEALTH MANAGEMENT LLC
May 21, 2013 - August 13, 2013
PNC WEALTH MANAGEMENT LLC
November 21, 2011 - March 20, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 25, 2011 - March 20, 2013
TD AMERITRADE, INC.
October 24, 2011 - March 20, 2013
TD AMERITRADE, INC.
August 10, 2010 - January 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 9, 2010 - January 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2003 - May 18, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
March 2, 2001 - November 24, 2003
BNY MELLON SECURITIES CORPORATION
July 23, 1999 - February 28, 2001
GRUNTAL & CO., L.L.C.
December 11, 1998 - March 2, 1999
METROPOLITAN LIFE INSURANCE COMPANY
December 11, 1998 - March 2, 1999
MSI FINANCIAL SERVICES, INC.
December 15, 1995 - April 1, 1996
LORD ABBETT DISTRIBUTOR LLC
August 29, 1995 - November 10, 1995
UBS ASSET MANAGEMENT (US) INC.
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/5/2000
Limited Representative-Equity Trader ExamCurrent Firm
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
