DOMINARI SECURITIES LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 18975). Regulatory assets under management: $28.0M.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Robert Campbell | FINOP AND PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | Coral Gables, FL |
| Jaime Mercado | CHIEF COMPLIANCE OFFICER, AMLCO | — |
| Kyle Michael Wool | CEO/ PRESIDENT | — |
| NOAH SCOTT IVES | CEO/PRESIDENT; CHIEF LEGAL OFFICER; INTERIM CEO/PRESIDENT | — |
| THORNTON ROBERT LEE | CCO | — |
| MATTHEWS ROBERT SCOTT | CHAIRMAN; PRESIDENT AND CEO | — |
| CAMPBELL ROBERT | FINOP AND PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | — |
| ACHZET DAVID EDWARD | CHIEF COMPLIANCE OFFICER, MUNICIPAL PRINCIPAL, ROSFP; CHIEF COMPLIANCE OFFICER, ROSFP, MUNICIPAL PRINCIPAL; INTERIM CEO/PRESIDENT, CHIEF COMPLIANCE OFFICER, ROSFP, MUNICIPAL PRINCIPAL | — |
| MAYBERRY CATHY LOUISE | DIRECTOR OF OPERATIONS; OPERATIONS DIRECTOR; PRINCIPAL OPERATIONS OFFICER | — |
| KUMMERFELD HANS LINDSEY | ROSFP,CCO,VP EQUITY SALES, MUNICIPAL SECURITIES PRINCIPAL; ROSFP,CCO,VP EQUITY SALES, MUNICIPAL SECURITIES PRINCIPAL, AML OFFICER | — |
| PALAZZETTI JOHN | PRESIDENT | — |
| FULVIO GENNARO JOHN | FINOP | — |
| DELAURA CHRISTOPHER JAMES | PRESIDENT; PRESIDENT, CEO | — |
| CIANCARELLI STEPHEN VINCENT | FINOP | — |
| JOHNSTON TIMOTHY EDWARD | PRINCIPAL FINANCIAL OFFICER, FINOP | — |
| TULLY TIMOTHY J | CEO/EXECUTIVE CHAIRMAN; CHAIRMAN | — |
| LAWLOR WILLIAM L | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | — |
| COOKE MARY MARGARET | CHIEF COMPLIANCE OFFICER, ROSFP, MUNICIPAL PRINCIPAL | — |
| HOLLAND HARRY RUSSELL | CHAIRMAN | — |
| WOOL KYLE MICHAEL | CEO/ PRESIDENT | — |
| MERCADO JAIME | CHIEF COMPLIANCE OFFICER, AMLCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2003-03-03 | regulatory | LATE REPORTING OF ACT TRADES DURING FEB 2002, CORRECTIVE ACTIONS HAVE BEEN TAKEN | Final | $23K |
| 2002-11-12 | regulatory | ON NOVEMBER 12, 2002, THE NASD ACCEPTED A LETTTER OF ACCEPTANCE, WAIVE AND CONSENT WHICH CENSURED AND FINED THE FIRM $7500 FOR TRADE REPORTING VIOLATIONS. | Final | $8K |
| 2001-12-05 | regulatory | CONSENT AGREEMENT AND ORDER TO VACATE PREVIOUS ORDER OF REVOCATION AND PERMANENT BAR | Final | $2K |
| 2000-04-07 | regulatory | FIRM OVERCHARGED CLIENTS ON 55 TRANSACTIONS NASDAQ SECURITIES | Final | $5K |
| 1996-11-04 | regulatory | SELLING SECURITIES IN THE STATE OF ALABAMA WITHOUT BENEFIT OF REGISRATION. | Final | — |
| 1996-06-25 | regulatory | SELLING OF UNREGISTERED SECURITIES TO ILLINOIS RESIDENTS | Final | — |