Marina B. 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.
Marina Bella Dorfman, who also goes by Marina Bela Dorfman, was a registered financial professional .
Marina is a previously registered financial professional and started their career in finance in 2001. Marina had worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2015 - August 9, 2016
ALLEGRO SECURITIES LLC
November 11, 2010 - November 29, 2013
UBS FINANCIAL SERVICES INC.
October 3, 2001 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
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
ALLEGRO SECURITIES LLC
CRD#: 139514 / SEC#: , 8-67218
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOYTINCK, THOMAS CARL ARNOLD | CEO, CFO, COO, FINOP, CCO MANAGING DIRECTOR | 4754503 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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