Dominari Securities Llc
- Regulatory AUM
- $28.0M
- Discretionary
- $0
- Clients
- 63
- Avg AUM / client
- $445K
- Accounts
- 97
- Employees
- 14
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 60 | $21.2M | 75.6% |
| Corporations and other businesses | 3 | $6.8M | 24.4% |
People (20)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Campbell, Robert | Finop And Principal Financial Officer And Principal Operations Officer | Mar 2021 (5y) | Less than 5% | |
| Wool, Kyle Michael | Ceo/ President | May 2023 (3y) | Less than 5% | |
| Mercado, Jaime | Chief Compliance Officer, Amlco | Feb 2024 (3y) | Less than 5% | |
| Joshua Anthony Shipley | Registered representative | Apr 2023 (3y) | ||
| Najat Rhoni | Registered representative | Apr 2023 (3y) | ||
| Jerome Frank Niles | Registered representative | Apr 2023 (3y) | ||
| Soo Jeoung Yu | Registered representative | Aug 2023 (3y) | ||
| Larry Dean Lavoice | Registered representative | Aug 2023 (3y) | ||
| Dylan Angulas | Registered representative | Sep 2023 (3y) | ||
| William Laurence Haring | Registered representative | Dec 2023 (3y) | ||
| Eric Newman | Registered representative | Mar 2024 (2y) | ||
| John Marshall Williams | Registered representative | Oct 2024 (2y) | ||
| Christopher Giunta | Registered representative | Oct 2025 (1y) | ||
| Michael Joseph Nadler | Registered representative | Nov 2025 (1y) | ||
| Jeffrey Ryan Alfonso | Registered representative | Dec 2025 (1y) | ||
| Christopher Franklin Devall | Registered representative | Mar 2026 (0y) | ||
| Ian Steffensen | Registered representative | Mar 2026 (0y) | ||
| Jay Jino Yu | Registered representative | Mar 2026 (0y) | ||
| Simon Jordan Hanna | Registered representative | Mar 2026 (0y) | ||
| Justin M Cifone | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Dominari Financial, Inc. | Owner | Mar 2023 | A | 75% or more |
| Dominari Holdings Inc. | Shareholder | Mar 2023 | B | 75% or more of Dominari Financial Inc. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.43 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: LATE REPORTING OF ACT TRADES DURING FEB 2002, CORRECTIVE ACTIONS HAVE BEEN TAKEN Status: Final Sanction Detail: $10000 JOINTLY AND SEVERELY;SCHNEID AND NUTMEG SECURTIES, LTD. Summary: AWC C11030017 RELATES TO LATE REPORTING OF ACT TRADES DURING FEB 2002, CORRECTIVE ACTIONS HAVE BEEN TAKEN.
Allegations: CONSENT AGREEMENT AND ORDER TO VACATE PREVIOUS ORDER OF REVOCATION AND PERMANENT BAR Status: Final Sanction Detail: COSENT AGREEMENT AND ORDER TO VACATE PREVIOUS ORDER OF REVOCATION AND PERMANENT BAR. $1750 IN FEES PAID Summary: CONSENT AGREEMENT AND ORDER TO VACATE PREVIOUS ORDER OF REVOCATION AND PERMANENT BAR
Allegations: SELLING SECURITIES IN THE STATE OF ALABAMA WITHOUT BENEFIT OF REGISRATION. Status: Final Sanction Detail: SAME AS ALLEGATIONS Summary: SAME AS ALLEGATIONS CONTACT: MIKE FOLEY, SECURITIES INVESTIGATOR 334/242/2984
Allegations: FIRM OVERCHARGED CLIENTS ON 55 TRANSACTIONS NASDAQ SECURITIES Status: Final Sanction Detail: CENSURED, PAID $5000 NASD 4/18/2000 RESTITUTION OF $18,816.28 BEING PAID BACK TO CUSTOMERS.
Allegations: 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. Status: Final Sanction Detail: $7500 FINE TO BE PAID BY NUTMEG SECURITIES, LTD.
Allegations: SELLING OF UNREGISTERED SECURITIES TO ILLINOIS RESIDENTS Status: Final Summary: THE SECURITY IN QUESTION WAS S & P LISTED. NUTMEG THOUGHT THIS LISTING WAS ACCEPTED BY ILLINOIS. IT HAD BEEN DROPPED FROM QUALIFICATION BY ILLINOIS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $26.8M (95% of AUM) Mar 2026
- Pershing $9.7M (32% of AUM) Jul 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗