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Dorie Harriet Fain

&Wealth Partners

Baltimore, MD

New York, NY

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Current Employers
&Wealth Partners

1629 Thames Street Suite 300, Baltimore, MD 21231 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-02-04
MD RA APPROVED 2010-04-05
  • NY RA
    APPROVED
    Since 2021-02-04
  • MD RA
    APPROVED
    Since 2010-04-05

Branch Locations

1629 Thames Street Suite 300, Baltimore, MD 21231 • United States

475 Park Avenue South Suite 2100, New York, NY 10016 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
&Wealth Partners Baltimore MD 03/2009 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-05-16
S65 Uniform Investment Adviser Law Examination 1997-05-13
  • S63 Uniform Securities Agent State Law Examination
    1997-05-16
  • S65 Uniform Investment Adviser Law Examination
    1997-05-13
Designations
Other Names
  • Dorie H Fain
  • Dorie H Rosenband
  • Dorie Fain Rosenband

View on SEC IAPD

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