Dorothy Decarlo
Professional summary
Dorothy Decarlo, who also goes by Dorothy Elizabeth Decarlo, Dorothy Elizabeth Reifenheiser, is a registered financial advisor currently at KLINGMAN AND ASSOCIATES, LLC located in New York, New York.
Dorothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Dorothy has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dorothy Decarlo's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 10, 2025 - Present
KLINGMAN AND ASSOCIATES, LLC
Office #1: 120 West 45th Street Suite 3800, New York, NY 10036November 20, 2015 - June 7, 2024
UBS FINANCIAL SERVICES INC.
November 20, 2015 - June 7, 2024
UBS FINANCIAL SERVICES INC.
August 23, 2013 - December 17, 2015
CREDIT SUISSE SECURITIES (USA) LLC
August 12, 2013 - December 17, 2015
CREDIT SUISSE SECURITIES (USA) LLC
Primary Firm SEC Registration
KLINGMAN AND ASSOCIATES, LLC
CRD#: 125618 / SEC#: 801-67783
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/10/2025)
Exams
Current Firm
KLINGMAN AND ASSOCIATES, LLC
CRD#: 125618 / SEC#: 801-67783
Contact information
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,532 |
| AUM (Assets Under Management) | $ 5,664,692,453 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2025 | ||
| 01/10/2025 | ||
| 01/23/2024 | ||
| 04/27/2023 |
Red Flags
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