Dorie Fain has been Managing Member/Chief Compliance Officer of And Wealth Partners since March 2009, is a control person of the firm and directly owns 75% or more of it. Dorie Fain holds a B.A. from The Ohio State University.
And Wealth Partners, LLC is a Baltimore, MD firm with $508M under management, 103 clients and 3 advisers across 2 offices, as of its February 2026 filing.
Dorie Fain is Founder and CEO of &Wealth, based in Baltimore, MD, a boutique financial advisory firm created for women managing major life events and their own finances for the first time. Before founding the firm she was a Financial Advisor at Smith Barney. She guides clients through the process of making decisions on estate plans, investments, insurance plans and retirement plans.
Dorie Fain’s longest registration is the current one, 16 years at And Wealth Partners since 2010. Before joining And Wealth Partners in 2010, Dorie Fain was registered through Citigroup Global Markets Inc.
- Citigroup Global Markets Inc.– · 8 yearsNew York, NY · Adviser representative · Firm CRD 7059
Professional designations
Listed by And Wealth Partners
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Dorie Fain is registered as an investment adviser representative in 2 states. The first approvals date from April 2010; the most recent is New York, in February 2021.
- MarylandSince 5 April 2010
- New YorkSince 4 February 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 31 | Futures Managed Funds Examination | 17 July 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 May 1997 |
| Series 65 | Uniform Investment Adviser Law Examination | 13 May 1997 |
| Series 7 | General Securities Representative Examination | 30 April 1997 |
- Name
- Futures Managed Funds Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Full name
- Dorie Harriet Fain
- CRD
- 2871080
- Firm
- And Wealth Partners · CRD 149136
- Role
- Managing Member/Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- November 2001
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- andwealth.com
Where does Dorie Fain work?
Dorie Fain has been Managing Member/Chief Compliance Officer of And Wealth Partners, LLC since March 2009, and is a control person of the firm.
Is Dorie Fain a financial advisor?
Yes. Dorie Fain has a current investment-adviser registration in Maryland and New York, through And Wealth Partners since April 2010.
How many years of experience does Dorie Fain have?
Dorie Fain has 24 years in the financial industry, since November 2001, across 2 adviser firms.
What exams has Dorie Fain passed?
Dorie Fain has passed 4 licensing exams: the Series 7, Series 65, Series 63 and Series 31. The earliest, the Series 7, was passed in April 1997.
Where did Dorie Fain work before And Wealth Partners?
Before And Wealth Partners, Dorie Fain was registered through Citigroup Global Markets Inc., December 1997 to May 2006.
Is Dorie Fain registered with FINRA?
No. Dorie Fain has no current broker registration.
Is Dorie Fain a CFP?
And Wealth Partners lists Dorie Fain with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Dorie Fain’s record?
Search CRD 2871080 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Dorie Fain’s full registration record.