Type Of Business:
Wealth management company
Expertise:
Corporate compliance; Branch management
Major Product/SVS:
Investment and wealth management services
Hobbies/Sports:
Performance arts including jazz; Attending the theater and ballet; Fine arts
Education Degrees:
Coursework in Music and Art, Northwest University
Work History:
Vice President, Branch Manager Private Client Services, Thomas Weisel Partners LLC (January 2011-Present); Compliance Consultant, LWI Financial Inc. (October 2010-December 2010); VP, Advertising Compliance & Registration Services, LPL Financial (2005-2010); Senior Vice President, Chief Compliance Officer, Round Hill Securities, Inc. (2001-2005); Vice President, Operations, Mr. Stock, Inc. (1999-2000); Vice President, Brokerage Compliance, Wells Fargo Securities, Inc. (1994-1999); Vice President, Branch Manager, Charles Schwab Co., Inc. (1982-1994); Branch Operations Manager, Prudential-Bache (1981-1982); Branch Operations Manager, Regional Operations Trainer, Smith Barney (1977-1981)
Charity:
Samaritan's Purse for International Disaster Relief; American Cancer Society; SFJazz
Number Of Years In Profession:
35
Number Of Years In Current Position:
1
What Does He/She Attribute Success To:
She attributes her success to finding the right mentor who was able to guide her when she started out in the industry. She also credits having a passion for the work she does.
Why did you become involved in your profession or industry?:
She became involved in her profession because she started working in the financial services industry in a part-time position during college and quickly came to love the field. Its variety and constantly changing opportunities really appealed to her, leading her to attain the NASD FINRA series certifications to progress in the finance business.
Position Responsibilities and Duties:
Overseeing and supervising the sales practices of the firm's financial advisers and wealth managers
Education Certifications:
Series 4, 7, 8, 24, 53, 63, and 65, National Association of Securities Dealers
Awards/Honors:
Excellence in Service Award, Charles Schwab & Co., Inc.; Outstanding Customer Service of the Year Award, Round Hill Securities, Inc.
Where Will You Be In 5 Years:
In five years, Ms. Dorn hopes to continue growing in the financial services field.