AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
HD

Harold E. Doley

SECURITY CAPITAL BROKERAGE
Atlanta, GA 30303
Some features on this profile are disabled
CRD#: 1562598
HD

Professional summary

Harold Emanuel Doley III, who also goes by Harold E Doley, Harold Emanuel Doley III, Harold Emanuel Doley, is a registered financial professional currently at SECURITY CAPITAL BROKERAGE, INC. located in Atlanta, Georgia.

Harold is registered as a RR (Registered Representative) and started their career in finance in 1993. Harold has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harold E Doley | Harold Emanuel Doley Iii | Harold Emanuel Doley

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) - BD

Click below to view Harold Emanuel Doley III's CRS (Customer Relationship Summary).

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

Current

February 1, 2018 - Present

SECURITY CAPITAL BROKERAGE, INC.

Office #1: 260 Peachtree Street, Nw Suite 2200, Atlanta, GA 30303
BD
CRD#: 35405
Atlanta, GA
Past

December 1, 2015 - December 4, 2017

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NEW YORK, NY
Past

December 14, 1995 - October 22, 2015

THE LUGANO GROUP INCORPORATED

BD
CRD#: 38655
NEW ORLEANS, LA
Past

March 24, 1993 - May 25, 1994

DOLEY SECURITIES, LLC.

BD
CRD#: 7081
NEW ORLEANS, LA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Georgia
(2/19/2018)
RR
New York
(2/22/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/12/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/5/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/22/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/10/1995
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SECURITY CAPITAL BROKERAGE, INC.
SECURITY CAPITAL BROKERAGE, INC.

CRD#: 35405 / SEC#: , 8-46669

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
260 Peachtree Street, Nw Suite 2200, Atlanta, GA 30303
Mailing Address
260 Peachtree Street, Nw Suite 2200, Atlanta, GA 30303
Phone number
(404) 230-8475
Established
Georgia since 10/04/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LEWIS, NATHAN LCEO, CCO, PRESIDENT & EXEC REP4193024
RICHMOND, LEROME CORDELLPASSIVE SHAREHOLDER
CARTER, ANA RFINOP, CFO4424794

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

SECURITY CAPITAL BROKERAGE, INC.

CRD#: 35405Atlanta, GA 30303

TRUST BUT VERIFY

Monitor Harold Doley

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Robert L Busby
Robert BusbyAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Atlanta, GA
TP
Tyrane PerryAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
IAR
RR
Atlanta, GA
KC
Kermit CottrellAdvisorCheck Check Mark
STATE FARM VP MANAGEMENT CORP.
RR
Dunwoody, GA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.