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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

RICHARD BRIAN DORFMAN

Advisor at NFSG CORPORATION

BOCA RATON, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Aug 10, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NFSG CORPORATION
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 10, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Feb 18, 2016
First registration: Aug 10, 2010
Dual registered: yes, broker-dealer
Other names: Richard Brian Dorfman|RICHARD B DORFMAN|RICK DORFMAN
IAPD individual key: 2472079

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NFSG CORPORATION	Bd affiliated wealth	Aug 13, 2026	n/a	yes	BOCA RATON, FL	Current employment
MONEY CONCEPTS ADVISORY SERVICE	Bd affiliated wealth	Jun 26, 2024	Jan 28, 2026	no	PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL	Previous registration
KOVACK ADVISORS, INC.	Bd affiliated wealth	Dec 6, 2023	Jan 11, 2024	no	Fort Lauderdale, FL\|FT. LAUDERDALE, FL	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Feb 27, 2023	Aug 3, 2023	no	DELRAY BEACH, FL	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Aug 20, 2021	Dec 6, 2022	no	BOCA RATON, FL	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	May 21, 2013	Aug 13, 2013	no	BOYNTON BEACH, FL\|WELLINGTON, FL\|BOYNTON BEACH, FL	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Nov 21, 2011	Mar 20, 2013	no	PONTE VEDRA BEACH, FL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Oct 25, 2011	Mar 20, 2013	no	Jacksonville, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 10, 2010	Jan 3, 2011	no	JACKSONVILLE, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MONEY CONCEPTS ADVISORY SERVICE	NFSG CORPORATION	Jan 28, 2026	Aug 13, 2026	197	Firm change	Ibd to ibd
KOVACK ADVISORS, INC.	MONEY CONCEPTS ADVISORY SERVICE	Jan 11, 2024	Jun 26, 2024	167	Firm change	Ibd to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	KOVACK ADVISORS, INC.	Aug 3, 2023	Dec 6, 2023	125	Firm change	Ibd to ibd
CETERA ADVISOR NETWORKS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Dec 6, 2022	Feb 27, 2023	83	Firm change	Ibd to ibd
PNC WEALTH MANAGEMENT	CETERA ADVISOR NETWORKS LLC	Aug 13, 2013	Aug 20, 2021	2,929	Firm change after gap	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Mar 20, 2013	Nov 21, 2011	-485	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	PNC WEALTH MANAGEMENT	Mar 20, 2013	May 21, 2013	62	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD AMERITRADE, INC.	Jan 3, 2011	Oct 25, 2011	295	Firm change	Wirehouse to new firm

Relationships

Registered with (9)

→ NFSG CORPORATIONRegistered adviserregistration: current employment
Aug 13, 2026 to presentfactForm ADV
→ MONEY CONCEPTS ADVISORY SERVICERegistered adviserregistration: previous registration
Jun 26, 2024 to Jan 28, 2026factForm ADV
→ KOVACK ADVISORS, INC.Registered adviserregistration: previous registration
Dec 6, 2023 to Jan 11, 2024factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Feb 27, 2023 to Aug 3, 2023factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Aug 20, 2021 to Dec 6, 2022factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
May 21, 2013 to Aug 13, 2013factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 21, 2011 to Mar 20, 2013factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Oct 25, 2011 to Mar 20, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 10, 2010 to Jan 3, 2011factForm ADV

Dated events

Occurred
Jan 28, 2026
Advisor changed firm
Richard Brian Dorfman left Money Concepts Advisory Service for Nfsg Corporation (registered 2026-08-13)
Form ADVobserved 6 days ago
Occurred
Jan 11, 2024
Advisor changed firm
Richard Brian Dorfman left Kovack Advisors, Inc. for Money Concepts Advisory Service (registered 2024-06-26)
Form ADVobserved 6 days ago
Occurred
Aug 3, 2023
Advisor changed firm
Richard Brian Dorfman left Fidelity Personal And Workplace Advisors for Kovack Advisors, Inc. (registered 2023-12-06)
Form ADVobserved 6 days ago
Occurred
Dec 6, 2022
Advisor changed firm
Richard Brian Dorfman left Cetera Advisor Networks Llc for Fidelity Personal And Workplace Advisors (registered 2023-02-27)
Form ADVobserved 6 days ago