Dharmesh Vora

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CRD#: 2629494

Professional summary

Dharmesh Vora was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dharmesh is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Dharmesh had worked at 6 firms, which includes VORA WEALTH MANAGEMENT PLLC, GLOBAL FINANCIAL PRIVATE CAPITAL INC., TRIVELLONI ASSET MANAGEMENT, KALOS CAPITAL INC., CROWN CAPITAL SECURITIES L.P., MML INVESTORS SERVICES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Dharmesh Virendra Vora

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)

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®

None

Experience

Past

April 4, 2011 - December 31, 2024

VORA WEALTH MANAGEMENT, PLLC

RIA

CRD#: 153559

FLAGSTAFF, AZ

Past

August 16, 2010 - February 9, 2012

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

FLAGSTAFF, AZ

Past

October 23, 2009 - August 29, 2011

TRIVELLONI ASSET MANAGEMENT

RIA

CRD#: 149379

MOUNT CLEMENS, MI

Past

June 30, 2008 - October 1, 2009

KALOS CAPITAL, INC.

CRD#: 44337

FLAGSTAFF, AZ

Past

May 4, 2007 - April 14, 2008

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

FLAGSTAFF, AZ

Past

July 17, 1995 - May 15, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

FLAGSTAFF, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VORA WEALTH MANAGEMENT, PLLC

CRD#: 153559 / SEC#: 801-122599

RIA

Registered Investment Advisory firm - (10/29/2021 Approved)

North Carolina

Registered Investment Advisory firm - (4/27/2023 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2024 Failure to Renew)

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).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/26/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/13/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/14/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VORA WEALTH MANAGEMENT, PLLC

CRD#: 153559 / SEC#: 801-122599

RIA

Registered Investment Advisory firm - (10/29/2021 Approved)

North Carolina

Registered Investment Advisory firm - (4/27/2023 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2024 Failure to Renew)

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Contact information

Main Address

2500 S. Woodlands Village Boulevard Suite 3, Flagstaff, AZ 86001

Mailing Address

2700 S. Woodlands Village Boulevard Suite 300-367, Flagstaff, AZ 86001

Phone number

(928) 526-8672

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - VORA WEALTH MANAGEMENT, PLLC (4/4/2024)

ADV PART 2B - DHARMESH VORA (4/4/2024)

Regulatory assets under management

Total Number of Accounts	1,065
AUM (Assets Under Management)	$ 74,797,158

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

Dharmesh Vora

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

TRIVELLONI ASSET MANAGEMENT

KALOS CAPITAL, INC.

CROWN CAPITAL SECURITIES, L.P.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

VORA WEALTH MANAGEMENT, PLLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/26/2009

Series 63

Date: 7/13/1995

Series 6

Date: 7/14/1995

Current Firm

VORA WEALTH MANAGEMENT, PLLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VORA WEALTH MANAGEMENT, PLLC

TRUST BUT VERIFY

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