Christopher M. Dorn
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.
Christopher Mcausland Dorn, who also goes by Chris Dorn, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1969. Christopher had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2020 - December 31, 2021
CROWN CAPITAL SECURITIES, L.P.
December 7, 1999 - February 7, 2022
CROWN CAPITAL SECURITIES, L.P.
March 31, 1999 - December 8, 1999
MUTUAL SERVICE CORPORATION
October 8, 1990 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
June 13, 1988 - September 21, 1990
UBS FINANCIAL SERVICES INC.
August 19, 1986 - June 20, 1988
NTS SECURITIES, INC.
September 12, 1985 - December 19, 1986
TITAN/VALUE EQUITIES GROUP, INC.
July 2, 1984 - June 25, 1986
AUGUST MARKETING CORPORATION
May 28, 1975 - September 12, 1983
WEDBUSH SECURITIES INC.
November 14, 1973 - December 28, 1973
DEAN WITTER & CO INCORPOATED
December 8, 1969 - December 23, 1973
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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: 1/2/2023
General Securities Representative ExaminationPC
Date: 12/1/1988
AMEX Put and Call ExamSeries 1
Date: 9/23/1969
Registered Representative ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
