Stephen A. Doran
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.
Stephen A Doran, who also goes by Stephen Alfred Doran, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 14 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2012 - July 30, 2014
ABN AMRO CLEARING USA LLC
August 2, 2010 - January 25, 2012
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
July 29, 2010 - January 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 7, 2009 - April 28, 2010
BNP PARIBAS PRIME BROKERAGE, INC.
May 13, 2004 - August 4, 2009
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
April 2, 2003 - August 4, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 2001 - March 18, 2003
J.P. MORGAN CLEARING CORP.
January 22, 2001 - March 18, 2003
J.P. MORGAN SECURITIES LLC
March 20, 2000 - December 22, 2000
ABN AMRO SECURITIES LLC
September 28, 1998 - March 20, 2000
NEUBERGER BERMAN BD LLC
October 2, 1995 - September 29, 1998
MORGAN STANLEY DW INC.
April 12, 1991 - September 6, 1995
SANWA UNIVERSAL SECURITIES CO., LLC
May 18, 1990 - September 6, 1995
SANWA SECURITIES (USA) CO., L.P.
October 26, 1989 - March 20, 1990
CM&M FUTURES INC.
October 26, 1989 - March 20, 1990
HSBC SECURITIES (USA) INC.
July 25, 1987 - March 24, 1988
DEALERWEB LLC
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
Current Firm
ABN AMRO CLEARING USA LLC
CRD#: 14020 / SEC#: , 8-34354
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ABN AMRO CLEARING HOLDINGS USA LLC | SHAREHOLDER | |
| ARNOLD, JEFFREY WAYNE | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2204052 |
| BREAULT, RONALD CLIFFORD | NY BRANCH OFFICE MANAGER | 2253143 |
| BREAULT, RONALD CLIFFORD | CHIEF COMMERCIAL OFFICER | 2253143 |
| DELHEIMER, MICHAEL FRANCIS | VP FINANCE, FINOP, PRINCIPAL FINANCIAL OFFICER | 5567195 |
| DUINSTRA, BOUDEWIJN | CHIEF EXECUTIVE OFFICER | 5504066 |
| ENGELBERTS, PAULINE MATHILDE | DIRECTOR, BOARD MEMBER | 7350692 |
| GILMORE, KEVIN MICHAEL | PRINCIPAL OPERATIONS OFFICER | 3150898 |
| ONEILL, YULIA V | CHICAGO BRANCH OFFICE MANAGER, ROP | 6313470 |
| SCHELLENS, RUTGER VINCENT CONSTANTIJN | DIRECTOR | 6268503 |
| TAYLOR, TIMOTHY JAMES | PRINCIPAL OPERATIONS OFFICER | 1640795 |
| TYRICHTROVA, MONIKA ALEXANDRA | CHIEF COMPLIANCE OFFICER | 4487708 |
Disclosures
| Regulatory Event | 82 |
Red Flags
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