Matthew Lawrence Dorn
Professional Summary
Matthew Lawrence Dorn, who also goes by Matthew L Dorn, is a registered financial advisor currently at DORN & CO., INC. located in Fergus Falls, Minnesota. Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Matthew has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 28 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Matthew L Dorn
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures on record.
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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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
DORN & CO., INC.
Contact Information
Main Address
216 East Washington Avenue Suite 1050, Minnetonka, MN 55305Mailing Address
216 East Washington Avenue, Fergus Falls, MN 56537-2812Phone Number
(218) 739-5236Established
Minnesota since 10/18/1946Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
2FINRA licenses (17 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
116AUM (Assets Under Management)
$61,357,802Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(11/30/2016)
(9/10/2014)
(2/2/2019)
(2/2/2019)
(11/21/2024)
(7/9/2019)
(2/8/2019)
(5/11/2012)
(1/24/2022)
(2/2/2019)
(12/15/2020)
(2/6/2019)
(2/2/2019)
(1/27/2015)
(6/13/2013)
(7/29/2022)
(9/10/2014)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Feb 2024About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Nov 1998Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 2024About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Matthew Lawrence Dorn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Lawrence Dorn's CRS (Customer Relationship Summary).
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