Lawrence J. Doherty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lawrence John Doherty, who also goes by Larry Doherty, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1983. Lawrence had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 1997 - October 16, 2001
CROWN FINANCIAL GROUP, INC.
August 8, 1994 - March 11, 1997
OPPENHEIMER & CO. INC.
August 30, 1991 - August 8, 1994
REICH & CO., INC.
August 23, 1988 - August 26, 1991
FIRST INTERREGIONAL EQUITY CORP.
May 28, 1987 - July 10, 1989
JERSEY CAPITAL MARKETS GROUP INC.
August 26, 1985 - October 7, 1986
HOMESTEAD SECURITIES, INC.
March 22, 1983 - September 4, 1985
MARVEST SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
CROWN FINANCIAL GROUP, INC.
CRD#: 540 / SEC#: , 8-8381
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROWN FINANCIAL HOLDINGS, INC. (PUBLICLY REPORTING ENTITY UNDER SECTION 12 OF THE '34 ACT.) | SHAREHOLDER | |
| HOOBLER, JEFFREY MICHAEL | INTERIM PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER | 1406028 |
| LEIGHTON, JOHN PATRICK | CHAIRMAN/CEO/PRESIDENT/DIRECTOR | 724359 |
| THORNTON, ROBERT SEAVEY | SENIOR VICE PRESIDENT/CFO/TREASURER/FINOP | 1188684 |
Disclosures
| Regulatory Event | 31 |
| Civil Event | 1 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
