# DOMINARI SECURITIES LLC

DOMINARI SECURITIES LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 18975
- Type: SEC-registered investment adviser
- SEC file number: 801-78295
- Location: 725 FIFTH AVE., 23RD FL., NEW YORK, NY, 10022
- Phone: 212-393-4500
- Latest filing: 2026-03-30
- Regulatory AUM: $28.0M
- Non-discretionary AUM: $28.0M
- Clients: 14
- Accounts: 97

## Business model

- Compensation: % of AUM
- Clients served: Individuals, High net worth, Pooled vehicles, Charities

## Officers, owners & control persons (21)

| 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 | — |


## Disclosures (12)

| 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 | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/18975/brochure
- Similar advisers: https://search.stillhousedata.com/firm/18975/similar
- Related entities: https://search.stillhousedata.com/firm/18975/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/18975

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.