Duane R. Dorazio
Professional summary
Duane Randall Dorazio is a registered financial advisor currently at CONESTOGA CAPITAL ADVISORS, LLC located in Wayne, Pennsylvania.
Duane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Duane has worked at 6 firms and has passed the Series 66, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Duane Randall Dorazio's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 20, 2001 - Present
CONESTOGA CAPITAL ADVISORS, LLC
Office #1: Crosspoint At Valley Forge 550 E. Swedesford Rd. Suite 120, Wayne, PA 19087November 13, 2002 - August 4, 2003
INCAP SECURITIES, INC.
October 7, 2000 - September 24, 2001
M&T SECURITIES, INC.
July 3, 2000 - October 7, 2000
KEYSTONE BROKERAGE, LLC
January 20, 1999 - May 19, 2000
TUCKER ANTHONY INCORPORATED
August 29, 1996 - January 22, 1999
HOPPER SOLIDAY & CO., INC.
Primary Firm SEC Registration
CONESTOGA CAPITAL ADVISORS, LLC
CRD#: 111750 / SEC#: 801-60133
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/20/2001)
Exams
Series 55
Date: 5/24/1999
Limited Representative-Equity Trader ExamCurrent Firm
CONESTOGA CAPITAL ADVISORS, LLC
CRD#: 111750 / SEC#: 801-60133
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 247 |
| AUM (Assets Under Management) | $ 8,756,199,619 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2023 |
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.
