Barry H. Doft
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.
Barry Hirsch Doft was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1991. Barry had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 8 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2008 - June 11, 2019
BTIG, LLC
February 29, 2008 - June 20, 2008
RBC CAPITAL MARKETS, LLC
January 2, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
April 24, 2006 - July 14, 2006
G-2 TRADING,LLC
September 25, 2002 - January 2, 2007
CARLIN EQUITIES, LLC
September 17, 1994 - August 22, 1995
FIRST NEW YORK SECURITIES L.L.C.
October 18, 1991 - August 3, 1993
DOFT & CO., 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 8
Date: 3/18/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
