Richard Brian Dorfman

Employer firm

Nfsg Corporation CRD 130814

$1.08B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2015 → 09/2019
  Summit Brokerage Services, Inc.
  Boca Raton, FL
• 01/2016 → 11/2022
  Vsr Financial Services, Inc.
  Overland Park, KS
• 01/2016 → 09/2019
  Summit Brokerage Services, Inc.
  Boca Raton, FL
• 02/2016 → 11/2022
  Cetera Advisor Networks Llc
  El Segundo, CA
• 01/2023 → 07/2023
  Fidelity Investments
  Delray Beach, FL
• 07/2023 → 12/2023
  Unemployed
  Boca Raton, FL
• 12/2023 → 01/2024
  Kovack Securities, Inc.
  Fort Lauderdale, FL
• 12/2023 → 01/2024
  Kovack Advisors, Inc.
  Fort Lauderdale, FL
• 01/2024 → 06/2024
  Unemployed
  Boca Raton, FL
• 06/2024 → 01/2026
  Money Concepts Capital Corp
  Palm Beach Gardens, FL
• 08/2026 → Present
  Newbridge Securities Corporation
  Boca Raton, FL
• 08/2026 → Present
  Nfsg Corporation
  Boca Raton, FL
• 01/2026 → 08/2026
  Unemployed
  Boca Raton, FL

Previous Registrations

• 2024-06-26 → 2026-01-28
  Money Concepts Capital Corp
  Palm Beach Gardens, FL
  Palm Beach Gardens, FL
  Palm Beach Gardens, FL
• 2023-12-06 → 2024-01-11
  Kovack Advisors, Inc.
  Ft. Lauderdale, FL
  Fort Lauderdale, FL
• 2023-02-27 → 2023-08-03
  Fidelity Personal And Workplace Advisors
  Delray Beach, FL
• 2021-08-20 → 2022-12-06
  Cetera Wealth Services, Llc
  Boca Raton, FL
• 2013-05-21 → 2013-08-13
  Pnc Wealth Management Llc
  Boynton Beach, FL
  Wellington, FL
  Boynton Beach, FL
• 2011-10-25 → 2013-03-20
  Td Ameritrade, Inc.
  Jacksonville, FL
• 2011-11-21 → 2013-03-20
  Td Ameritrade Investment Management, Llc
  Ponte Vedra Beach, FL
• 2010-08-10 → 2011-01-03
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Jacksonville, FL

Exams

• S66 Uniform Combined State Law Examination
  2021-08-18
• S63 Uniform Securities Agent State Law Examination
  2016-02-18

Other Names

• Richard Brian Dorfman
• Richard B Dorfman
• Rick Dorfman