James B. Dorman

DORMAN FINANCIAL MANAGEMENT, P.A.

Maitland, FL 32751

Some features on this profile are disabled

CRD#: 2842570

Professional summary

James Brooks Dorman JR, CFP®, who also goes by Jim Dorman, is a registered financial advisor currently at DORMAN FINANCIAL MANAGEMENT, P.A. located in Maitland, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Dorman

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.

1) DORMAN FINANCIAL MANAGEMENT, PA (DBA) INDEPENDENT REGISTERED INVESTMENT ADVISOR; INSURANCE; TAX SERVICES; OWNER/OFFICER; 90% TIME SPENT; 100% OWNERSHIP; CONTINUOUS TERM; $490K/YR COMP 2) BLUE OCEAN WEALTH ADVISORS, OWNERSHIP 50%, TIMES SPENT 0%

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Brooks Dorman JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

January 30, 2003 - Present

DORMAN FINANCIAL MANAGEMENT, P.A.

Office #1: 557 N. Wymore Road Suite 201, Maitland, FL 32751

RIA

CRD#: 136881

Maitland, FL

Past

April 1, 2009 - November 22, 2013

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

MAITLAND, FL

Past

December 3, 2004 - April 1, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

MAITLAND, FL

Past

April 9, 1997 - December 7, 2004

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

MAITLAND, FL

Past

March 31, 1997 - December 7, 2004

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

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".

DORMAN FINANCIAL MANAGEMENT, P.A.

CRD#: 136881 / SEC#: 801-66938

RIA

Registered Investment Advisory firm - (7/6/2006 Approved)

Florida

Registered Investment Advisory firm - (7/6/2006 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(1/30/2003)

IAR

Louisiana
(7/24/2015)

IAR

Texas
(12/21/2011)

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: 6/3/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/27/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 1/27/2012

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/2005

General Securities Principal Examination

Current Firm

DORMAN FINANCIAL MANAGEMENT, P.A.

CRD#: 136881 / SEC#: 801-66938

RIA

Registered Investment Advisory firm - (7/6/2006 Approved)

Florida

Registered Investment Advisory firm - (7/6/2006 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

557 N. Wymore Road Suite 201, Maitland, FL 32751

Mailing Address

Phone number

(407) 774-6815

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DORMAN FINANCIAL MANAGEMENT, P.A. ADV BROCHURE (3/3/2025)

Regulatory assets under management

Total Number of Accounts	752
AUM (Assets Under Management)	$ 147,802,769

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.

Similar Advisors

Yannis Moore

LPL FINANCIAL LLC

FORT MILL, SC

Sarah Soria

PROSPERITY CAPITAL ADVISORS

IAR

Grass Valley, CA

Edgar Duran

TRANSAMERICA FINANCIAL ADVISORS, LLC

West Palm Beach, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James B. Dorman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Brooks Dorman JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEXT FINANCIAL GROUP, INC.

MUTUAL SERVICE CORPORATION

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

DORMAN FINANCIAL MANAGEMENT, P.A.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/3/1999

Series 63

Date: 4/1/1997

Series 7

Date: 3/27/1997

Series 51

Date: 1/27/2012

Series 24

Date: 12/21/2005

Current Firm

DORMAN FINANCIAL MANAGEMENT, P.A.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DORMAN FINANCIAL MANAGEMENT, P.A.

TRUST BUT VERIFY

Similar Advisors