Matthew L. 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 Series 24 exams.
Question & Answer
Aliases
Other business activities
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).
Certified licenses
Experience
January 24, 2022 - Present
DORN & CO., INC.
Office #1: 216 East Washington Avenue, Fergus Falls, MN 56537Office #2: 601 Carlson Parkway Suite 1050, Minnetonka, MN 55305May 11, 2012 - Present
DORN & CO., INC.
Office #1: 216 East Washington Avenue, Fergus Falls, MN 56537Office #2: 601 Carlson Parkway Suite 1050, Minnetonka, MN 55305January 7, 2011 - April 25, 2012
WEDBUSH SECURITIES INC.
March 15, 2010 - September 30, 2010
CANACCORD GENUITY SECURITIES LLC
November 28, 2007 - March 1, 2010
PALI CAPITAL, INC.
June 7, 2004 - November 28, 2007
RBC CAPITAL MARKETS CORPORATION
March 2, 1998 - November 2, 2004
RBC CAPITAL MARKETS, LLC
January 6, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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)
Exams
Series 52TO
Date: 2/20/2024
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/11/1998
Limited Representative-Equity Trader ExamSeries 28
Date: 3/7/2024
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
DORN & CO., INC.
CRD#: 2950 / SEC#: , 8-8707
Contact information
FINRA licenses (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 108 |
| AUM (Assets Under Management) | $ 55,265,612 |
Disclosures
| Regulatory Event | 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.
