Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Doherty is a licensed broker-dealer in the state of New York, and has been in the financial industry for over 30 years. Jeffrey Doherty is currently employed as a registered representative with Nomura Securities International, Inc., a firm with its main office in New York. Previously, Jeffrey Doherty has worked with firms such as Instinet, LLC, Nomura Securities International, Inc., Barclays Capital Inc., Lehman Brothers Inc., and Dean Witter Reynolds Inc. Jeffrey Doherty holds Series 7, 10, 24, 55, 63, 87, 99TO, and SIE licenses.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
NY
09/14/2022 - Present
Nomura Securities International, Inc. (NEW YORK NY)
NY
11/14/2016 - 09/13/2022
INSTINET, LLC (NEW YORK NY)
NY
12/24/2015 - 11/14/2016
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
09/22/2008 - 10/07/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
06/09/2000 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
03/23/1993 - 07/12/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 03/31/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/20/2018
Series 24 - General Securities Principal Examination
BC
Issued 03/24/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/05/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2018
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 05/06/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/19/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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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