Douglas K. 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.
Douglas Keith Dorn, who also goes by Douglas K Dorn, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1972. Douglas had worked at 11 firms and has passed the Series 65, Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2006 - January 4, 2012
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 1, 2004 - July 21, 2006
OSAIC FS, INC.
February 5, 2001 - August 13, 2004
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 15, 1999 - September 10, 1999
FSC SECURITIES CORPORATION
July 24, 1990 - October 2, 2000
INVEST FINANCIAL CORPORATION
September 21, 1988 - August 8, 1990
KEMPER FINANCIAL SERVICES, INC.
April 25, 1988 - August 8, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 21, 1987 - March 11, 1988
TRANSAMERICA CAPITAL, LLC
February 5, 1980 - May 13, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
August 31, 1977 - December 29, 1978
U. S. CAPITAL SECURITIES, INC.
June 1, 1977 - February 14, 1980
EQUABLE SECURITIES CORPORATION
December 5, 1972 - May 22, 1977
FPC SECURITIES CORPORATION
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 1
Date: 12/1/1972
Registered Representative ExaminationSeries 40
Date: 1/25/1978
Registered Principal ExaminationCurrent Firm
LINCOLN FINANCIAL DISTRIBUTORS, INC.
CRD#: 145 / SEC#: , 8-13431
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE LINCOLN NATIONAL LIFE INSURANCE COMPANY | SHAREHOLDER | |
| CHRYSSIKOS, PAUL TELEMAC | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 7263748 |
| FALLER, DANIEL T | SENIOR VICE PRESIDENT, HEAD OF LFD FINANCE | 6006570 |
| GIBSON, JASON MICHAEL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, DISTRIBUTION | 3081880 |
| KENNEDY, JOHN CHRISTOPHER | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2213083 |
| NEPA, JARED M. | SVP, HEAD OF LIFE & MONEYGUARD DISTRIBUTION | 5157819 |
| OMORUYI, MEGAN VOGT | AVP, FINANCIAL AND OPERATIONS PRINCIPAL | 7803022 |
| SEIFERT, TIMOTHY JOHN | SENIOR VICE PRESIDENT, HEAD OF RS DISTRIBUTION | 1577571 |
Disclosures
| Regulatory Event | 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.
