Thomas 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.
Thomas Jude Doherty, who also goes by Thomas J Doherty, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 8 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2012 - December 14, 2021
WELLS FARGO SECURITIES, LLC
October 1, 2008 - May 15, 2012
J.P. MORGAN SECURITIES LLC
August 29, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
April 19, 2002 - September 2, 2008
J.P. MORGAN SECURITIES LLC
April 20, 1998 - February 14, 2001
JPMSI
March 6, 1998 - April 13, 1998
NOMURA SECURITIES INTERNATIONAL, INC.
April 24, 1996 - March 10, 1998
JPMSI
August 13, 1991 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
August 13, 1991 - January 27, 1995
LEHMAN GOVERNMENT SECURITIES INC.
August 13, 1991 - January 27, 1995
LEHMAN BROTHERS 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 7TO
Date: 3/11/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/11/2024
Operations Professional ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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