Dominari Securities LLC (“DS” or the “Firm”) was formed as a FINRA registered securities broker- dealer in 1986, under the name Nutmeg Securities LLC. Nutmeg Securities, the predecessor firm, became a state-registered investment advisor in 2001. In 2011, Nutmeg Securities was acquired by Fieldpoint Private Bank & Trust, under the name of its wholly owned subsidiary, Fieldpoint Private Securities, LLC. Fieldpoint Private Securities qualified to change its status from a state registered investment advisor to an SEC registered investment advisor in July 2013. Dominari Financial Inc., a subsidiary of Dominari Holdings Inc. (NASDAQ: DOMH) entered into an agreement to purchase Fieldpoint Private Securities LLC, a FINRA broker-dealer and SEC Registered Investment Advisor on September 9, 2022. The sale received approval from FINRA on March 20, 2023, and this transaction was finalized on March 27, 2023. As a result of the ownership change the new name of the firm has been changed to Dominari Securities LLC, a subsidiary of Dominari Financial Inc. DS is a national firm, offering a variety of advisory services through its Investment Advisor Representatives, ("IAR" or "Advisor") registered with the Firm. The services to be provided are further discussed in this brochure and each Advisor will contract with and arrange for specific services to be provided on a client-by- client basis. The Firm offers investment advisory services through both Wrap fee accounts where the client pays one advisory fee that covers portfolio management services and transaction costs and non- Wrap fee accounts where clients pay an advisory fee plus transaction fees for each transaction. This brochure discusses the Wrap fee accounts. For information on the Wrap fee accounts, please see the Firm’s Form ADV 2A, Appendix 1, Wrap Fee Brochure. DS offers the following types of advisory services: 1. Non-Discretionary – DS provides non-discretionary investment management and advice to clients. Clients choose a non-discretionary engagement by executing a non-discretionary Advisory Services Agreement. DS provides clients tailored asset allocation advice and refers clients to outside, unaffiliated investment managers to fulfill the portfolio construction process. Outside managers are researched, vetted, selected, and monitored by DS Advisor. Approved managers include separately managed accounts (SMAs), mutual funds, limited partnerships, unified managed accounts (UMAs) and other types of products. DS, in consultation with clients, recommends approved managers that are suitable based on the client’s financial goals, risk tolerance and investment experience. DS may change the asset allocation and manager selections only with client approval.1 2. Discretionary – DS provides discretionary investment management and advice to clients. Clients choose a discretionary account by executing a discretionary Advisory Services Agreement. DS provides clients with tailored asset allocation advice and manages portfolios on a discretionary basis using a combination of individual securities (such as stocks, bonds, exchange traded funds [“ETFs”] and limited partnerships) as well as approved outside, unaffiliated investment managers. The DS Advisor assigned to the client’s advisory relationship may purchase and sell securities and select outside managers on a client’s behalf without obtaining the client’s prior approval for each individual trade. Discretionary clients may set up a donor-advised fund (DAF) whereby the client contributes cash or assets to a public charitable organization, which then creates a separate account for the donor. DS may manage the assets itself or utilize a third-party to set up and manage up such accounts. Assets Not Recommended/Researched by DS – DS may provide counsel and advice about client investments that were not recommended or researched by DS, and over which DS exercises no discretionary control either directly or indirectly. Such investments and/or portfolios may be held at DS’ preferred custodian or elsewhere (assets held elsewhere are referred to as “held away”). Advisory fees apply regardless of whether such assets are held at a DS preferred custodian or held away. DS may, at its sole discretion and in consultation with the client, negotiate a flat fee for assets held away and included in consolidated performance reports that is different from the fee charged for assets held at a DS preferred custodian. Please see Item 5 (“Fees and Compensation”) for more information. It is suggested that clients with non-discretionary advisory relationships who wish to trade individual securities establish brokerage accounts (i.e., commission-based transactional accounts) at DS. 3. Consulting Services
• DS offers fee-based financial planning and consulting services. Such services often involve a specific project or set of projects, such as preparation of a financial plan or consultation on estate planning, college planning, business planning, etc., with a deadline agreed upon between the client and DS for completion of the project(s) and any related work product. In such circumstances a flat fee is negotiated based upon factors including, but not limited to, the client’s needs and objectives, the complexity of the plan or consulting engagement, the nature of the anticipated work product, the time required to develop the plan and/or conclude the consultation, and the overall experience of the DS Advisor providing the services. Clients who wish to use the Firm’s financial planning/consulting services will be provided with an agreement at the commencement of the engagement describing the scope of the project, the expected final work product, the anticipated timeframe for completion, and the agreed-upon flat fee. An initial retainer payment is typically required

upon execution of the engagement agreement, with the balance due upon completion of the engagement or in stages at scheduled times (or upon achievement of established milestones) during the course of the engagement. Throughout the project, the assigned DS Advisor will regularly consult with the client, as well as others if and as directed by the client (such as attorneys, accountants, etc.), to provide updates on the project’s progress, refine the scope as warranted, gather additional information as applicable, and respond to any questions. The written financial plan or consultation may consist of observations, assumptions, strategies, and recommendations. Depending on the agreement covering the engagement, the client may have the opportunity to update the financial plan or consultation document annually, or as relevant circumstances change. The client may choose to implement all, any component, or none of the financial plan or consulting recommendations, and those the client wishes to pursue may be implemented through DS or through any other institution of the client’s choosing. In the event that implementation is done through DS and depending on the nature of the relationship entered into to facilitate such implementation, the client may be asked to execute a non- discretionary or discretionary Advisory Services Agreement (as applicable), with respect to which the fee schedule described in Item 5 of this Brochure will apply. In such circumstances, the DS Advisor assigned to the relationship will receive compensation in addition to that received directly in connection with the financial planning and/or consulting services.
• DS also offers clients the opportunity to enter into open-ended consulting agreements whereby DS will provide various ongoing services as set forth in the agreement. As an example, such services might include working with an institutional client’s Investment Committee to establish investment objectives and design and implement a disciplined investment management process, evaluating potential investment strategies and opportunities (whether or not on the DS platform), performing portfolio reviews, providing brokerage and private banking services, performance reporting, and/or such other services as requested by the client and agreed to by DS. The fee arrangement for such consulting services is negotiated on a case-by-case basis and may be based upon or include a standard flat payment on a recurring basis (e.g., annually), an asset-based fee, commissions and other fees for brokerage and banking services, and/or a combination thereof depending on the specific nature of the services and the agreement between the client and DS. Tailored Asset Management Services Advisory services are tailored to individual client needs, requests, goals and risk tolerance based on information obtained from each client at account opening and on an ongoing basis as warranted. There is no guarantee or assurance that our advisory services will in fact be successful in helping clients achieve their financial goals, and clients may lose a portion or all of their investment. Clients must carefully consider the investment options available to them, both at DS and elsewhere, to ensure that they make a well-educated decision when choosing the investment approach and strategy most appropriate for their individual financial goals and circumstances. Clients may request reasonable restrictions regarding investments that may be held in their portfolios. Any such request must be made in writing and will become effective upon acknowledgment and acceptance of that request. Where client assets are to be managed by outside investment managers, we will confer with those managers about their ability to abide by any client-requested restrictions or accommodations. If we manage client assets directly, acceptance of client-requested restrictions will depend on whether, in our opinion, such restrictions are reasonable and would not unduly interfere with our ability to provide the investment advisory services necessary to facilitate achievement of the client’s goals. In either circumstance, if it is determined that a client-requested restriction cannot be accommodated, the client will be notified so as to have the opportunity to modify the requested restriction and/or consider other investment options. Third-party Money Managers We may determine that opening an account with a professional third-party money manager is in your best interests. These programs allow you to obtain portfolio management services that typically require higher minimum account sizes outside of the program. The money managers selected under these programs will have discretion to determine the securities they buy and sell within the account, subject to reasonable restrictions imposed by you. Due to the nature of these programs, each of the independent money managers is obligated to provide you with a separate disclosure document. You should carefully review this document for important and specific program details, including pricing. Under these programs, we may:
• Assist in the identification of investment objectives
• Recommend specific investment style and asset allocation strategies
• Assist in the selection of appropriate money managers and review performance and progress
• Recommend reallocation among managers or styles within the program
• Recommend the hiring and firing of money managers utilized by you. You should read the ADV Part 2 or ADV Part 2A Appendix 1 disclosure document of the money manager you select for complete details on the charges and fees you will incur. As of March 28, 2024, regulatory assets under management at DS had an aggregate value of $26,779,046.21.