AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AD

Adam J. Dooley

WAVELAND CAPITAL PARTNERS LLC
Irvine, CA 92612
Some features on this profile are disabled
CRD#: 2547292
AD

Professional summary

Adam James Dooley, who also goes by Adam James Dooley, Adam Dooley, is a registered financial professional currently at WAVELAND CAPITAL PARTNERS LLC located in Irvine, California.

Adam is registered as a RR (Registered Representative) and started their career in finance in 1995. Adam has worked at 10 firms and has passed the Series 63, Series 65, Series 82TO, SIE, Series 7, Series 6, Series 14, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adam James Dooley | Adam Dooley

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 Adam James Dooley'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

March 10, 2025 - Present

WAVELAND CAPITAL PARTNERS LLC

Office #1: 19800 Macarthur Blvd Suite 650, Irvine, CA 92612
BD
CRD#: 40054
Irvine, CA
Past

December 22, 2022 - March 4, 2025

TERRANOVA CAPITAL EQUITIES, INC

BD
CRD#: 45097
NEW YORK, NY
Past

December 20, 2019 - December 31, 2020

PREP SECURITIES, LLC

BD
CRD#: 188522
Park City, UT
Past

February 12, 2015 - December 31, 2019

CR CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 171776
Newport Beach, CA
Past

June 11, 2013 - December 16, 2013

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
IRVINE, CA
Past

May 26, 1998 - August 18, 2005

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

July 14, 1997 - January 24, 1998

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

April 9, 1997 - July 14, 1997

ASB FINANCIAL SERVICES

BD
CRD#: 24280
IRVINE, CA
Past

March 5, 1997 - March 18, 1997

ASB FINANCIAL SERVICES

BD
CRD#: 24280
IRVINE, CA
Past

October 21, 1996 - March 3, 1997

FIMCO SECURITIES GROUP, INC.

BD
CRD#: 30343
PORT WASHINGTON, WI
Past

February 7, 1995 - October 8, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, 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
Alaska
(5/14/2025)
RR
Arizona
(5/14/2025)
RR
Arkansas
(5/14/2025)
RR
California
(3/10/2025)
RR
Colorado
(5/14/2025)
RR
Connecticut
(5/14/2025)
RR
Delaware
(5/14/2025)
RR
District of Columbia
(5/14/2025)
RR
Florida
(5/14/2025)
RR
Georgia
(5/14/2025)
RR
Hawaii
(5/14/2025)
RR
Idaho
(5/14/2025)
RR
Illinois
(5/14/2025)
RR
Indiana
(5/14/2025)
RR
Iowa
(5/14/2025)
RR
Kansas
(5/14/2025)
RR
Kentucky
(5/14/2025)
RR
Louisiana
(5/14/2025)
RR
Maine
(5/14/2025)
RR
Maryland
(5/14/2025)
RR
Massachusetts
(5/14/2025)
RR
Michigan
(5/14/2025)
RR
Minnesota
(5/14/2025)
RR
Missouri
(5/14/2025)
RR
Montana
(5/14/2025)
RR
Nebraska
(5/14/2025)
RR
Nevada
(5/14/2025)
RR
New Hampshire
(5/14/2025)
RR
New Jersey
(5/14/2025)
RR
New Mexico
(5/14/2025)
RR
New York
(5/14/2025)
RR
North Carolina
(5/14/2025)
RR
North Dakota
(5/14/2025)
RR
Ohio
(5/14/2025)
RR
Oklahoma
(5/14/2025)
RR
Oregon
(5/14/2025)
RR
Pennsylvania
(5/14/2025)
RR
Rhode Island
(5/14/2025)
RR
South Carolina
(5/14/2025)
RR
South Dakota
(5/14/2025)
RR
Tennessee
(5/14/2025)
RR
Texas
(5/14/2025)
RR
Utah
(5/14/2025)
RR
Vermont
(5/14/2025)
RR
Virginia
(5/14/2025)
RR
Washington
(5/14/2025)
RR
Wisconsin
(5/14/2025)
RR
Wyoming
(5/14/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/3/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/16/1995
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/22/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/10/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/29/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/1/2013
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WAVELAND CAPITAL PARTNERS LLC
MERCER GLOBAL SECURITIES LLC | WAVELAND SECURITIES LLC | WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054 / SEC#: , 8-48962

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
19800 Macarthur Blvd Suite 650, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd Suite 650, Irvine, CA 92612
Phone number
(949) 706-5000
Established
Delaware since 03/28/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WAVELAND CAPITAL GROUP LLCOWNER
DOOLEY, ADAM JAMESPRESIDENT2547292
IRVANI, SAMFINOP4298335
PRINCE, TRISHA ANNECHIEF COMPLIANCE OFFICER2941980

Disclosures

Arbitration2

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

WAVELAND CAPITAL PARTNERS LLC

CRD#: 40054Irvine, CA 92612

TRUST BUT VERIFY

Monitor Adam Dooley

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Barton S Pearce
Barton PearceAdvisorCheck Check Mark
PARK AVENUE SECURITIES LLC
IAR
RR
IRVINE, CA
Ryan Anthony Gallo
Ryan GalloAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
FULLERTON, CA
Michael Gregory Jensen
Michael JensenAdvisorCheck Check Mark
FALCON WEALTH PLANNING, INC.
IAR
Irvine, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics