DD
David M. Dorman
MORGAN STANLEY & CO. LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 5422818
DD
Professional summary
David Marc Dorman, who also goes by David Dorman, is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2007. David has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Dorman
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.
CRS (Client Relationship Summary) - BD
Click below to view David Marc Dorman'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®
NoneExperience
Current
May 26, 2023 - Present
MORGAN STANLEY & CO. LLC
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 8209
New York, NY
Past
August 10, 2017 - May 30, 2023
UBS SECURITIES LLC
BD
CRD#: 7654
STAMFORD, CT
Past
September 14, 2015 - July 25, 2017
CREDIT AGRICOLE SECURITIES (USA) INC.
BD
CRD#: 190
NEW YORK, NY
Past
February 29, 2008 - August 19, 2015
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
LONDON,
Past
December 11, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, 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(5/26/2023)
RR
Alaska(5/26/2023)
RR
Arizona(5/26/2023)
RR
Arkansas(5/26/2023)
RR
California(5/26/2023)
RR
Colorado(5/26/2023)
RR
Connecticut(5/26/2023)
RR
Delaware(5/26/2023)
RR
District of Columbia(5/26/2023)
RR
Florida(5/26/2023)
RR
Georgia(5/26/2023)
RR
Hawaii(5/26/2023)
RR
Idaho(5/26/2023)
RR
Illinois(5/26/2023)
RR
Indiana(5/26/2023)
RR
Iowa(5/26/2023)
RR
Kansas(5/26/2023)
RR
Kentucky(5/26/2023)
RR
Louisiana(5/26/2023)
RR
Maine(5/26/2023)
RR
Maryland(5/26/2023)
RR
Massachusetts(5/26/2023)
RR
Michigan(5/26/2023)
RR
Minnesota(5/26/2023)
RR
Mississippi(5/26/2023)
RR
Missouri(5/26/2023)
RR
Montana(5/26/2023)
RR
Nebraska(5/26/2023)
RR
Nevada(5/26/2023)
RR
New Hampshire(5/26/2023)
RR
New Jersey(5/26/2023)
RR
New Mexico(5/26/2023)
RR
New York(5/26/2023)
RR
North Carolina(5/26/2023)
RR
North Dakota(5/26/2023)
RR
Ohio(5/26/2023)
RR
Oklahoma(5/26/2023)
RR
Oregon(5/26/2023)
RR
Pennsylvania(5/26/2023)
RR
Puerto Rico(5/26/2023)
RR
Rhode Island(5/26/2023)
RR
South Carolina(5/26/2023)
RR
South Dakota(5/26/2023)
RR
Tennessee(5/26/2023)
RR
Texas(5/26/2023)
RR
Utah(5/26/2023)
RR
Vermont(5/26/2023)
RR
Virgin Islands(5/26/2023)
RR
Virginia(5/26/2023)
RR
Washington(5/26/2023)
RR
West Virginia(5/26/2023)
RR
Wisconsin(5/26/2023)
RR
Wyoming(5/26/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 7/19/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MS
MORGAN STANLEY & CO. LLC
MORGAN STANLEY | MORGAN STANLEY DEAN WITTER | MORGAN STANLEY & CO., INCORPORATED | MORGAN STANLEY & CO. LLC | MORGAN STANLEY & CO. INCORPORATED
CRD#: 8209 / SEC#: , 8-15869
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1585 Broadway, New York, NY 10036-8293
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(212) 761-4000
Established
Delaware since 12/03/1969
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
