Anthony J. Dorval
MOORS & CABOT
Maitland, FL 32751
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CRD#: 3172316
Professional summary
Anthony Joseph Dorval, CFP®, who also goes by Anthony J Dorval, Tny Dorval, Tony Dorval, is a registered financial advisor currently at MOORS & CABOT, INC. located in Maitland, Florida.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Anthony has worked at 3 firms and has passed the Series 66, Series 52TO, SIE, Series 31, Series 3, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony J Dorval | Tny Dorval | Tony Dorval
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)INDEPENDENT INSURANCE AGENT SELLING DISABILITY, LIFE/ACCIDENT/HEALTH, LTC 2HRS/WK DURING SECURITIES TRADING HOURS & 2HRS/WKND & EVENINGS SINCE 6/2004 2)INDEPENDENT INSURANCE AGENT SELLING DISABILITY 1HR/WK DURING SECURITIES TRADING HOURS & 0HRS/WKND & EVENINGS SINCE 11/2009 3)INDEPENDENT INSURANCE AGENT SELLING GROUP DENTAL & LIFE PLAN 0HRS/WK DURING SECURITIES TRADING HOURS & 0HRS/WKND & EVENINGS SINCE 12/2009 4)INDEPENDENT INSURANCE AGENT SELLING LIFE/ACCIDENT/HEALTH 1HR/WK DURING SECURITIES TRADING HOURS & 0HRS/WKND & EVENINGS SINCE 1/2011 5) Owner of seasonal rental property located in New Smyrna Beach, FL, as of 6/2/2025; 0% time spent during business hours
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Joseph Dorval's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony Joseph Dorval's 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®
Start date: 2003
Experience
Current
September 17, 2013 - Present
MOORS & CABOT, INC.
Office #1: 500 S. Maitland Avenue, Maitland, FL 32751RIA
BD
CRD#: 594
Maitland, FL
Current
September 13, 2013 - Present
MOORS & CABOT, INC.
Office #1: 500 S. Maitland Avenue, Maitland, FL 32751RIA
BD
CRD#: 594
Maitland, FL
Past
November 1, 2005 - September 17, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
ORLANDO, FL
Past
March 31, 2003 - September 17, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
ORLANDO, FL
Past
March 15, 1999 - April 1, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ORLANDO, FL
Past
March 11, 1999 - April 1, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.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
Alabama(7/8/2014)
RR
Alaska(7/22/2022)
RR
Arizona(10/2/2020)
RR
California(9/13/2013)
RR
Colorado(7/9/2020)
RR
Connecticut(11/7/2023)
RR
Florida(9/13/2013)
IAR
Florida(9/17/2013)
RR
Georgia(7/17/2014)
RR
Illinois(6/28/2019)
RR
Indiana(5/22/2018)
RR
Kentucky(11/23/2016)
RR
Maine(8/3/2016)
RR
Maryland(11/7/2023)
RR
Massachusetts(9/13/2013)
RR
Michigan(7/8/2014)
RR
Missouri(7/8/2014)
RR
Nevada(7/8/2014)
RR
New Hampshire(11/7/2023)
RR
New Jersey(7/8/2014)
RR
New Mexico(8/26/2021)
RR
New York(7/8/2014)
RR
North Carolina(7/8/2014)
RR
Ohio(9/13/2013)
RR
Pennsylvania(9/13/2013)
RR
South Carolina(7/8/2014)
RR
Tennessee(7/8/2014)
RR
Texas(9/19/2014)
RR
Utah(10/28/2024)
RR
Virginia(6/14/2017)
RR
West Virginia(11/7/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
