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April M. Dorey
RAYMOND JAMES (USA) LTD.
Victoria, Bc, V8W 2E1
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CRD#: 5528668
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Professional summary
April Mary Dorey, who also goes by April Mary Dorey Hartwig, is a registered financial advisor currently at RAYMOND JAMES (USA) LTD. .
April is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. April has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
April Mary Dorey Hartwig
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) RAYMOND JAMES LTD ("RJL"), A REGISTERED INVESTMENT DEALER WITH IIROC, IS THE CANADIAN AFFILIATE AND PARENT COMPANY OF RAYMOND JAMES (USA) LTD. THE BUSINESS IS INVESTMENT RELATED. APRIL DOREY IS LOCATED AT 1000 - 1175 DOUGLAS ST, VICTORIA, BC CANDA V8W 2E1AND HAS BEEN EMPLOYED SINCE MARCH 6, 2006.SHE IS A FULL TIME EMPLOYEE AND HER TITLE WITH RJL IS "FINANCIAL ADVISOR". SHE DEVOTES 200 HOURS A MONTH TO THIS BUSINESS DURING BUSINESS AND TRADING HOURS. HER JOB DUTIES INCLUDE SALES. (2) RAYMOND JAMES FINANCIAL PLANNING LTD ("RJFP") IS THE INSURANCE AND ESTATE PLANNING DIVISION OF RAYMOND JAMES LTD. RJFP DEALS WITH INSURANCE SOLUTIONS, WEALTH MANAGEMENT, TAX AND ESTATE PLANNING AND BUSINESS CONTINUITY. APRIL DOREY IS LOCATED AT 1000 - 1175 DOUGLAS ST, VICTORIA, BC CANDA V8W 2E1 AND HAS BEEN LICENSED WITH RJFP SINCE JULY 31, 2009. SHE IS A FULL-TIME EMPLOYEE. SHE DEVOTES 1 HOUR A MONTH TO THIS BUSINESS. HER JOB DUTIES INCLUDE LIFE INSURANCE SALES &/OR FINANCIAL PLANNING. (3) Salvation Army (of BC) in Victoria BC - Advisory Board Position volunteer includes listening to strategy every 2 months, giving ideas on what other services to consider offering in community. START DATE was January 10th, 2018. I DEVOTE LESS THAN ONE (1) HOUR PER MONTH NOT DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view April Mary Dorey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view April Mary Dorey'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
June 21, 2012 - Present
RAYMOND JAMES (USA) LTD.
Office #1: #1000 - 1175 Douglas Street, Victoria, Bc, V8W 2E1RIA
BD
CRD#: 25853
Victoria, Bc,
Current
February 17, 2012 - Present
RAYMOND JAMES (USA) LTD.
Office #1: #1000 - 1175 Douglas Street, Victoria, Bc, V8W 2E1RIA
BD
CRD#: 25853
Victoria, Bc,
Past
December 12, 2011 - February 17, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
VICTORIA,
Past
August 28, 2008 - February 17, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
VICTORIA, BC,
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".
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver 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
Alaska(8/23/2023)
RR
Arizona(9/25/2012)
RR
Arkansas(10/3/2018)
RR
California(2/17/2012)
IAR
California(6/21/2012)
RR
Florida(2/12/2013)
RR
Georgia(1/4/2016)
RR
Hawaii(2/17/2012)
RR
Kentucky(5/18/2017)
RR
Michigan(6/8/2023)
RR
Missouri(2/25/2020)
RR
Montana(2/17/2012)
RR
Nevada(7/26/2018)
RR
New York(2/21/2020)
RR
North Carolina(12/20/2021)
RR
Oregon(2/17/2012)
RR
Texas(2/17/2012)
RR
Virginia(4/26/2016)
RR
Washington(2/17/2012)
RR
Wisconsin(11/16/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
925 West Georgia Street - 2100, Vancouver, V6C3L2
Mailing Address
925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2
Phone number
(604) 659-8200
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
175
SEC notice filing (31 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory assets under management
| Total Number of Accounts | 4,869 |
| AUM (Assets Under Management) | $ 1,991,381,912 |
Disclosures
| Regulatory Event | 1 |
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
RAYMOND JAMES (USA) LTD.
CRD#: 25853Victoria, Bc, V8W 2E1TRUST BUT VERIFY
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