Individual Firm
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HARRY PAUL DORMAN
HARRY P DORMAN
CRD#: 2027308
IA
B
LPL FINANCIAL LLCCRD#: 6413 1500 N CASALOMA DRIVE STE 411
APPLETON, WI 54913
APPLETON, WI 54913
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2/9/2009
Customer Dispute
Denied
State Registrations
B
New York 1/23/2024
IA
Wisconsin 2/14/2018
B
Wisconsin 2/14/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/14/2018
B
Registered with this firm since 2/14/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/20/2013 - 02/14/2018 | APPLETON, WI | |
B | 05/20/2013 - 02/14/2018 | APPLETON, WI | |
IA | 06/07/2004 - 05/22/2013 | APPLETON, WI | |
B | 06/07/2004 - 05/22/2013 | APPLETON, WI | |
B | 05/21/1990 - 06/07/2004 | MINNEAPOLIS, MN | |
B | 02/14/1990 - 04/09/1990 | MINNEAPOLIS, MN | |
B | 02/14/1990 - 04/09/1990 | MINNEAPOLIS, MN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.