Erica D. Dorfman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Erica Danielle Dorfman, who also goes by Erica Dorfman, was a registered financial professional .
Erica is a previously registered financial professional and started their career in finance in 2011. Erica had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 79 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2019 - July 16, 2026
BREX TREASURY LLC
February 26, 2016 - March 16, 2017
SOFI SECURITIES LLC
August 26, 2013 - January 25, 2016
BDT & MSD PARTNERS, LLC
August 22, 2011 - July 11, 2013
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 9/24/2019
General Securities Representative ExaminationCurrent Firm
BREX TREASURY LLC
CRD#: 299606 / SEC#: , 8-70251
Contact information
FINRA licenses (52 States and Territories)
Documents
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.
