Joshua P. Dorfman
Professional summary
Joshua Phillip Dorfman is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.
Joshua is registered as a RR (Registered Representative) and started their career in finance in 2011. Joshua has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joshua Phillip Dorfman's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2024 - Present
BA SECURITIES, LLC
Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428September 15, 2017 - December 21, 2022
CRITO CAPITAL LLC
August 25, 2011 - July 19, 2016
CHAMPLAIN ADVISORS, 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
(1/13/2024)
(1/13/2024)
(1/2/2025)
Exams
FINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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