Philip J. Dorsey
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.
Philip John Dorsey was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1972. Philip had worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 55, Series 1, Series 24 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2006 - July 16, 2019
DORSEY & COMPANY, INC.
October 18, 1972 - July 16, 2019
DORSEY & COMPANY, 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
Series 55
Date: 1/2/2001
Limited Representative-Equity Trader ExamSeries 1
Date: 10/14/1972
Registered Representative ExaminationF04
Date: 10/29/1980
Financial Principal ExaminationCurrent Firm
DORSEY & COMPANY, INC.
CRD#: 1668 / SEC#: 801-35768, 8-7541
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROSPERA FINANCIAL, LLC | OWNER | |
| THOMPSON, RAYMOND ANDREW | PRESIDENT / CEO / CCO | 737094 |
Disclosures
| Regulatory Event | 15 |
Red Flags
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