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Gary Dorsey Fired from LPL Financial

Gary Dorsey (CRD #: 2570922), a broker registered with Silver Oak Securities, was fired from his previous firm, according to his BrokerCheck record, accessed on July 2, 2022. If you have questions about Gary Dorsey’s conduct as a broker, keep reading.

Discharge from LPL Financial

On April 6, 2022, LPL Financial fired Gary Dorsey following allegations he electronically signed account documents on behalf of customers.

FINRA Rule 2010

FINRA Rule 2010 requires brokers to maintain high standards of commercial honor and ethical conduct. Many types of misconduct, including signing on behalf of customers, qualify as violations of this rule.

Background Information

Gary Dorsey has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Gary Dorsey is a registered broker in Georgia, Michigan, South Carolina, and South Dakota. He is also a registered investment adviser in Georgia and Texas.

He has also worked for the following firms:

  • LPL Financial (CRD#:6413)
  • Invest Financial Corporation (CRD#:12984)
  • Capital Research and Management (CRD#:145030)
  • Royal Alliance Associates (CRD#:23131)
  • Sugarloaf Wealth Management (CRD#:129602)

Kurta Law Can Help

If you worked with Gary Dorsey and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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