Luc Dorsinville
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.
Luc Dorsinville was a registered financial professional .
Luc is a previously registered financial professional and started their career in finance in 1999. Luc had worked at 8 firms and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2022 - May 2, 2023
B. RILEY WEALTH MANAGEMENT
November 20, 2012 - July 22, 2022
NATIONAL SECURITIES CORPORATION
January 15, 2010 - December 19, 2012
VFINANCE INVESTMENTS, INC
April 28, 2009 - September 1, 2009
GUNNALLEN FINANCIAL, INC
February 14, 2005 - April 28, 2009
J.P. TURNER & COMPANY, L.L.C.
September 17, 2003 - February 1, 2005
J.P. TURNER & COMPANY, L.L.C.
August 29, 2001 - October 22, 2001
SPENCER CLARKE LLC
July 17, 2000 - July 20, 2001
DALTON KENT SECURITIES GROUP, INC.
May 2, 2000 - June 27, 2000
DALTON KENT SECURITIES GROUP, INC.
December 17, 1999 - May 5, 2000
FIRST PROVIDENCE FINANCIAL GROUP, LLC
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
Series 62
Date: 12/15/1999
Corporate Securities Limited Representative ExaminationCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
