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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn David Doris is a financial advisor with over 27 years of experience in the financial industry. John is currently registered with Stifel, Nicolaus & Company, Inc. in Connecticut and Texas. John has previously been registered with RYAN BECK & CO., GRUNTAL & CO., L.L.C., and DAVID LERNER ASSOCIATES, INC.
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.
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2
CT
11/07/2017 - Present
Stifel, Nicolaus & Company, Inc. (HAMDEN CT)
CT
04/29/2002 - 06/05/2007
RYAN BECK & CO. (HAMDEN CT)
NY
02/21/2001 - 05/13/2002
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
05/08/1996 - 03/13/2001
DAVID LERNER ASSOCIATES, INC. (SYOSSET NY)
IA
Issued 10/11/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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