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Adam M. Dohler

DALMORE GROUP LLC
Fort Lauderdale, FL 33394
Some features on this profile are disabled
CRD#: 5260750
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Professional summary

Adam Matthew Dohler, who also goes by Adam Dohler, is a registered financial professional currently at DALMORE GROUP LLC located in Fort Lauderdale, Florida.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2007. Adam has worked at 8 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adam Dohler

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 Adam Matthew Dohler'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

July 18, 2024 - Present

DALMORE GROUP LLC

Office #1: 500 E Broward Blvd, Suite 1600, Fort Lauderdale, FL 33394
BD
CRD#: 136352
Fort Lauderdale, FL
Past

May 1, 2019 - November 22, 2023

STONEX FINANCIAL INC.

BD
CRD#: 45993
Fort Lauderdale, FL
Past

February 27, 2017 - May 1, 2019

INTL FCSTONE CREDIT TRADING LLC

BD
CRD#: 41025
Fort Lauderdale, FL
Past

March 31, 2015 - January 24, 2017

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

September 1, 2011 - March 3, 2015

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

June 1, 2009 - September 23, 2011

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

March 30, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

February 6, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
Alabama
(7/18/2024)
RR
Alaska
(7/18/2024)
RR
Arizona
(7/18/2024)
RR
Arkansas
(7/18/2024)
RR
California
(7/18/2024)
RR
Colorado
(7/18/2024)
RR
Connecticut
(7/18/2024)
RR
Delaware
(7/18/2024)
RR
District of Columbia
(7/18/2024)
RR
Florida
(7/18/2024)
RR
Georgia
(7/18/2024)
RR
Hawaii
(7/18/2024)
RR
Idaho
(7/18/2024)
RR
Illinois
(7/18/2024)
RR
Indiana
(7/18/2024)
RR
Iowa
(7/18/2024)
RR
Kansas
(7/18/2024)
RR
Kentucky
(7/18/2024)
RR
Louisiana
(7/18/2024)
RR
Maine
(7/18/2024)
RR
Maryland
(7/18/2024)
RR
Massachusetts
(7/18/2024)
RR
Michigan
(7/18/2024)
RR
Minnesota
(7/18/2024)
RR
Mississippi
(7/18/2024)
RR
Missouri
(7/18/2024)
RR
Montana
(7/18/2024)
RR
Nebraska
(7/18/2024)
RR
Nevada
(7/18/2024)
RR
New Hampshire
(7/18/2024)
RR
New Jersey
(7/18/2024)
RR
New Mexico
(7/18/2024)
RR
New York
(7/18/2024)
RR
North Carolina
(7/18/2024)
RR
North Dakota
(7/18/2024)
RR
Ohio
(7/18/2024)
RR
Oklahoma
(7/18/2024)
RR
Oregon
(7/18/2024)
RR
Pennsylvania
(7/18/2024)
RR
Puerto Rico
(7/18/2024)
RR
Rhode Island
(7/18/2024)
RR
South Carolina
(7/18/2024)
RR
South Dakota
(7/18/2024)
RR
Tennessee
(7/18/2024)
RR
Texas
(7/18/2024)
RR
Utah
(7/18/2024)
RR
Vermont
(7/18/2024)
RR
Virginia
(7/18/2024)
RR
Washington
(7/18/2024)
RR
West Virginia
(7/18/2024)
RR
Wisconsin
(7/18/2024)
RR
Wyoming
(7/18/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/16/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/10/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/5/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DG
DALMORE GROUP LLC
DALMORE GROUP LLC

CRD#: 136352 / SEC#: , 8-67002

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

Main Address
525 Green Place, Woodmere, NY 11598
Mailing Address
525 Green Place, Woodmere, NY 11598
Phone number
(917) 887-1948
Established
New York since 04/07/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
SEIDEL, OSCAR FRANCISCOPRESIDENT/CEO2328358
NEELY, KIMBERLY BETHFINOP2045019
SADLER, JOQUINN THOMASCCO2817763

Disclosures

Regulatory Event2

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

DALMORE GROUP LLC

CRD#: 136352Fort Lauderdale, FL 33394

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