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DW
DW

Dory Alan Wiley

Commerce Street Investment Management
35 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement Planning
Commerce Street Investment Management
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
10 advisors
Number of Clients
76 clients
Average Client Portfolio
$11.5M average
Assets Under Management
$876.5M

Fee Structure

Financial Planning:Investment management only

Location

1445 Ross Avenue, Suite 2700, Dallas, TX, 75202

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Dory is the President & CEO of Commerce Street Holdings, LLC, overseeing a broker-dealer and an SEC-registered investment advisor. She also serves as a principal for the general partners of three private equity funds and sits on the board of several non-investment related charitable and civic organizations.

Employment History
Current Registrations
Commerce Street Investment Management
October 2008 - Present · 17 yrs 4 mos
Commerce Street Capital, LLCBroker
September 2007 - Present · 18 yrs 5 mos
Previous Registrations
Samco Capital Markets, INC.Broker
May 2006 - October 2007 · 1 yr 5 mos
Penson Financial Services, INC.Broker
February 2003 - May 2006 · 3 yrs 3 mos
Service Asset Management CompanyBroker
July 2000 - February 2003 · 2 yrs 7 mos
Service Asset Management CompanyBroker
August 1996 - September 2000 · 4 yrs 1 mo
Rauscher Pierce Refsnes, INC.Broker
February 1990 - June 1996 · 6 yrs 4 mos
State Registrations51 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.