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JD

Jerry H. Dorenfeld

R.M. STARK & CO.
Charlotte, NC 28210-8917
Some features on this profile are disabled
CRD#: 3149448
JD

Professional summary

Jerry Howard Dorenfeld is a registered financial professional currently at R.M. STARK & CO., INC. located in Charlotte, North Carolina.

Jerry is registered as a RR (Registered Representative) and started their career in finance in 1998. Jerry has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Jerry Howard Dorenfeld'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®
None

Experience

Current

June 28, 2017 - Present

R.M. STARK & CO., INC.

Office #1: 10042 Park Cedar Dr Ste A, Charlotte, NC 28210-8917
BD
CRD#: 7612
Charlotte, NC
Past

August 19, 2011 - June 9, 2017

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA
CRD#: 131631
CHARLOTTE, NC
Past

August 19, 2011 - June 9, 2017

CAPITAL GUARDIAN, LLC

BD
CRD#: 137919
CHARLOTTE, NC
Past

April 1, 2010 - August 19, 2011

ANDERSON & STRUDWICK, INCORPORATED

BD
CRD#: 48
CHARLOTTE, NC
Past

March 29, 2010 - August 19, 2011

ANDERSON & STRUDWICK, INCORPORATED

RIA
CRD#: 48
CHARLOTTE, NC
Past

October 29, 2008 - April 1, 2010

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
CHARLOTTE, NC
Past

October 29, 2008 - April 1, 2010

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
CHARLOTTE, NC
Past

April 2, 2007 - October 23, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CHARLOTTE, NC
Past

April 2, 2007 - October 23, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CHARLOTTE, NC
Past

December 31, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CHARLOTTE, NC
Past

December 15, 1998 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(8/2/2023)
RR
California
(8/7/2024)
RR
Florida
(6/28/2017)
RR
Georgia
(6/28/2017)
RR
Maryland
(6/28/2017)
RR
North Carolina
(6/28/2017)
RR
Oregon
(1/10/2019)
RR
Pennsylvania
(5/7/2020)
RR
South Carolina
(7/11/2017)
RR
Virginia
(6/28/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/23/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/17/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 12/30/1998
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/10/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
R.M. STARK & CO., INC.
R.M. STARK & CO., INC. | RM STARK & CO INC.

CRD#: 7612 / SEC#: , 8-22543

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
730 S Federal Hwy, Lake Worth Beach, FL 33460-4955
Mailing Address
730 S Federal Hwy, Lake Worth Beach, FL 33460-4955
Phone number
(561) 243-3815
Established
Florida since 09/29/1988
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (45 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RMST HOLDING COMPANY, INC.OWNER
MCTAGUE, ROBIN JAYNECHIEF COMPLIANCE OFFICER1438670
STARK, GARY LESTERCEO433866
STARK, GARY LESTERFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, MUNICIPAL SECURITIES PRINCIPAL, REGISTERED OPTIONS PRINCIPAL433866

Disclosures

Regulatory Event4

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

R.M. STARK & CO., INC.

CRD#: 7612Charlotte, NC 28210-8917

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