Donald J. Dormody
Professional summary
Donald James Dormody was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Donald James Dormody was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1969. Donald had worked at 10 firms and has passed the Series 63, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2007 - July 1, 2009
B. RILEY WEALTH MANAGEMENT
October 20, 2006 - March 1, 2007
CAPITAL SECURITIES OF AMERICA, INC.
July 26, 2005 - October 26, 2006
AMERIPRISE ADVISOR SERVICES, INC.
March 18, 1996 - August 10, 2005
ADVEST, INC.
October 9, 1992 - March 18, 1996
KEYBANC CAPITAL MARKETS INC.
February 3, 1989 - October 15, 1992
UBS FINANCIAL SERVICES INC.
October 13, 1982 - February 14, 1989
MORGAN STANLEY DW INC.
November 5, 1981 - October 20, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 1977 - September 3, 1981
CITIGROUP GLOBAL MARKETS INC.
March 25, 1969 - October 10, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 10/15/1981
AMEX Put and Call ExamSeries 000
Date: 3/21/1969
General Securities Principal ExaminationSeries 1
Date: 3/21/1969
Registered Representative ExaminationCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Red Flags
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