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Jerome Frank Niles

Investment Adviser Representative at DOMINARI SECURITIES LLC

New York, NYCRD #3076666Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
28 yrs
States Registered
35 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Jerome Frank Niles has worked in the securities industry since 1998. They have passed the Series 65, 63, 31, and 7 examinations. They are registered to provide investment advisory services in 35 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 35 states
ArizonaArkansasCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIllinoisLouisianaMaineMarylandMassachusettsMichiganMinnesotaMissouriMontanaNebraskaNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaUtahVermontVirginiaWashingtonWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 5/15/2023
Series 63
Uniform Securities Agent State Law Examination
Passed 10/15/1998
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 3/14/2006
Series 7
General Securities Representative Examination
Passed 10/8/1998

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
On the first $5,000,0001.25%
On the next $5,000,0001.00%
On the next $15,000,0000.85%
On the next $25,000,0000.65%
On the next $25,000,0000.50%
On amounts over $75,000,0000.45%
Account minimum: $10,000,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Dominari Securities LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

DOMINARI SECURITIES LLCCurrent
4/28/2023New York, NY
MORGAN STANLEY
5/6/20131/21/2021New York, NY
OPPENHEIMER & CO. INC.
3/18/20095/15/2013New York, NY

Official records & sources

Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Jerome Frank Niles has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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Jerome Frank Niles - Financial Advisor in New York, NY | AdvisorFinder