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ID

Ian M. Dorman

HOULIHAN CAPITAL
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 7774100
ID

Professional summary

Ian Mark Dorman is a registered financial professional currently at HOULIHAN CAPITAL, LLC located in Cleveland, Ohio.

Ian is registered as a RR (Registered Representative) and started their career in finance in 2023. Ian has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ian Mark Dorman's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 20, 2023 - Present

HOULIHAN CAPITAL, LLC

Office #1: 2400 Superior Avenue Suite 100, Cleveland, OH 44114
BD
CRD#: 156028
Cleveland, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Ohio
(9/20/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/29/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/20/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/24/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

HC
HOULIHAN CAPITAL, LLC
HOULIHAN CAPITAL, LLC

CRD#: 156028 / SEC#: , 8-68762

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
200 W. Madison Street, Suite 2150, Chicago, IL 60606
Mailing Address
200 W. Madison Street, Suite 2150, Chicago, IL 60606
Phone number
(312) 450-8600
Established
Nevada since 08/06/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HOULIHAN CAPITAL HOLDINGSOWNER
CHAFFEE, SAMUEL J.CCO7501931
SMITH, ANDREW DAVIDPRESIDENT2433015

Disclosures

Regulatory Event2

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.

Company Information

HOULIHAN CAPITAL, LLC

CRD#: 156028Cleveland, OH 44114

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