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DF

Dorie H. Fain

&WEALTH PARTNERS
New York, NY 10016
Some features on this profile are disabled
CRD#: 2871080
DF

Professional summary

Dorie Harriet Fain, CFP®, who also goes by Dorie H Fain, Dorie Fain Rosenband, Dorie H Rosenband, is a registered financial advisor currently at &WEALTH PARTNERS located in New York, New York.

Dorie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Dorie has worked at 2 firms and has passed the Series 63, Series 65, Series 31 and Series 7 exams.

Core Areas of Focus

Divorce Planning
Women's Financial Planning Issues

Biography

When she's not running after her young son, Dorie loves to run through books, tennis courts, ski slopes, and New York streets. She is a board certified CFP and a proud graduate of The Ohio State University.

Question & Answer

What are your service offerings?
Estate Planning
Comprehensive Financial Planni...
Retirement Planning
Budgeting
Insurance Planning
Investment Planning
Divorce Planning
Tax Planning
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
Yes

Aliases

Dorie H Fain | Dorie Fain Rosenband | Dorie H Rosenband

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dorie Harriet Fain'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: 2004

Experience

Current

April 5, 2010 - Present

&WEALTH PARTNERS

Office #1: 475 Park Avenue South Suite 2100, New York, NY 10016Office #2: 1629 Thames Street Suite 300, Baltimore, MD 21231
RIA
CRD#: 149136
New York, NY
Past

December 28, 1997 - May 8, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

May 1, 1997 - April 9, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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".
&P
&WEALTH PARTNERS
&WEALTH PARTNERS | PROVIDENCE WEALTH ADVISORY, LLC | AND WEALTH PARTNERS, LLC | &WEALTH PARTNERS, LLC

CRD#: 149136 / SEC#: 801-69853

RIA
Registered Investment Advisory firm - (1/2/2009 Approved)

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
Maryland
(4/5/2010)
IAR
New York
(2/4/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/16/1997
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/13/1997
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 31
Date: 7/17/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/30/1997
General Securities Representative Examination

Current Firm

&P
&WEALTH PARTNERS
&WEALTH PARTNERS | PROVIDENCE WEALTH ADVISORY, LLC | AND WEALTH PARTNERS, LLC | &WEALTH PARTNERS, LLC

CRD#: 149136 / SEC#: 801-69853

RIA
Registered Investment Advisory firm - (1/2/2009 Approved)
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Contact information

Main Address
1629 Thames Street Suite 300, Baltimore, MD 21231
Mailing Address
Phone number
(410) 844-3300
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AND WEALTH PARTNERS, LLC BROCHURE (2/23/2026)

Regulatory assets under management

Total Number of Accounts254
AUM (Assets Under Management)$ 508,225,417

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.

Company Information

&WEALTH PARTNERS

CRD#: 149136New York, NY 10016

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