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DG

Delia Gonzalez

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CRD#: 1410426
DG

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.

Delia Gonzalez was a registered financial professional .

Delia is a previously registered financial professional and started their career in finance in 2009. Delia had worked at 4 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 6, 2015 - April 8, 2016

DOFT & CO., INC.

BD
CRD#: 1660
NEW YORK, NY
Past

August 15, 2014 - November 3, 2014

REALTA EQUITIES, INC.

BD
CRD#: 23769
New York, NY
Past

February 28, 2011 - February 11, 2014

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

July 2, 2009 - July 24, 2009

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 4/8/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/1/2009
General Securities Representative Examination

Current Firm

D&
DOFT & CO., INC.
DOFT & CO., INC.

CRD#: 1660 / SEC#: , 8-10048

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
55 East 59th Street 12th Floor, New York, NY 10022
Mailing Address
55 East 59th Street 12th Floor, New York, NY 10022
Phone number
(212) 421-5550
Established
New York since 08/03/1961
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DOFT, ALANDIRECTOR69360
DOFT, JONATHAN ANDREWSECRETARY/DIRECTOR2320497
DOFT, JONATHAN ANDREWCHIEF COMPLIANCE OFFICER (CCO)2320497
DOFT, JONATHAN ANDREWPRESIDENT2320497
DOFT, JONATHAN ANDREWOPERATIONS PRINCIPAL2320497
DOFT, RACHEL ALISONDIRECTOR2320922
HAMAOUI, ROBERT CVICE PRESIDENT1333905
HAMAOUI, ROBERT CFINANCIAL PRINCIPAL1333905

Disclosures

Regulatory Event4

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.

Company Information

DOFT & CO., INC.

CRD#: 1660

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