Mark DorfmanCRD Number: 1457646
Current Firm: Comprehensive Capital Management, Inc.
Mark Dorfman (CRD# 1457646) is an Investment Advisor Representative working at Comprehensive Capital Management, Inc. in Lynbrook, NY and has over 31 years of experience in the finance industry.
Legacy Care Wealth, LLC
H. Beck, Inc.
Ubs Financial Services Inc.
|Comprehensive Asset Management & Servicing, Inc.||Parsippany, NJ||Mar 2009 - Current||8|
|Oberlander Dorfman Inc.||Valley Stream, NY||Mar 1988 - Current||29|
|Cambridge Investment Research, Inc.||Fairfield, IA||Jan 2008 - Feb 2009||1|
|Cambridge Investment Research Advisors, Inc.||Fairfield, IA||Jan 2008 - Feb 2009||1|
|American Portfolios Financial Services, Inc.||Holbrook, NY||Sep 2002 - Jan 2008||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1986|
|S66||NASAA Uniform Combined State Law Examination||Nov 2003|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
- Regulatory Event
Total Assets Under Management203MILLIONS
Total Number of Accounts1,923ACCOUNTS
Average Account Value$105,821
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Market timing services
AZ, CA, CO, CT, DC, DE, FL, GA, IL, LA, MA, MD, MI, MN, NC, NE, NH, NJ, NY, OH, PA, SC, TX, VA, WA