Adam D. 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.
Adam David Dorfman, who also goes by Adam D Dorfman, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1996. Adam had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2015 - November 14, 2016
STRATEGIC ADVISERS LLC
September 25, 2015 - November 14, 2016
FIDELITY BROKERAGE SERVICES LLC
January 1, 2008 - March 24, 2015
FIDELITY BROKERAGE SERVICES LLC
April 30, 2007 - March 25, 2015
STRATEGIC ADVISERS LLC
March 15, 2007 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
December 6, 2006 - March 26, 2007
MML INVESTORS SERVICES, LLC
April 27, 2004 - December 13, 2004
BANC ONE SECURITIES CORPORATION
April 27, 2004 - December 13, 2004
BANC ONE SECURITIES CORPORATION
April 15, 2003 - July 25, 2003
OSAIC FA, INC.
December 18, 2002 - July 25, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 18, 2002 - July 25, 2003
OSAIC FA, INC.
August 3, 1999 - August 9, 2001
AFD, INC.
May 27, 1999 - June 22, 1999
RAYMOND JAMES & ASSOCIATES, INC.
August 19, 1997 - May 6, 1999
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
May 20, 1996 - July 10, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 20, 1996 - July 10, 1996
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
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
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
