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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis James Doherty is a financial advisor with UBS Financial Services Inc. Dennis has been working in the financial services industry since 1995. Dennis has offices in Weehawken, NJ and Garden City, NY. Dennis is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, 9, 10, 24, 63, and 66 licenses. Dennis also holds the SIE exam and Series 4 principal exam. Dennis works with individuals, families, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NJ
10/26/2021 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
04/11/2002 - 03/07/2018
SCOTTRADE, INC. (FOREST HILLS NY)
NE
09/22/1995 - 04/05/2002
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BOTH
Issued 05/30/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/20/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/22/2005
Series 4 - Registered Options Principal Examination
BC
Issued 05/28/2002
Series 24 - General Securities Principal Examination
BC
Issued 06/23/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 03/07/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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