JD
Janet T. Doherty
VANDERBILT ADVISORY SERVICES
Staten Island, NY 10306
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CRD#: 2073278
JD
Professional summary
Janet T Doherty is a registered financial advisor currently at VANDERBILT ADVISORY SERVICES located in Staten Island, New York and VANDERBILT SECURITIES, LLC located in Staten Island, New York.
Janet is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Janet has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) The Patricia Doherty Family Irrevocable Trust. Not investment related. Start date: 11/30/2024. Address: 5 Belfield Ave, Staten Island NY, 10412. Title: Trustee. Duties: Trustee for Mother's Trust. Time spent during regular hours: 5%. 2) Fixed Insurance Sales. Not investment related. Start date: 10/31/2024. Address: 68 New Dorp Plaza South, Staten Island NY, 10306. Title: Insurance agent. Duties: Fixed annuity insurance needs for clients. Time spent during regular hours: 5%.
CRS (Client Relationship Summary) - RIA
Click below to view Janet T Doherty'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®
NoneExperience
Current
April 24, 2024 - Present
VANDERBILT ADVISORY SERVICES
Office #1: 68 New Dorp Plaza South, Staten Island, NY 10306RIA
CRD#: 116537
Staten Island, NY
Current
April 24, 2024 - Present
VANDERBILT SECURITIES, LLC
Office #1: 68 New Dorp Plaza South, , Staten Island, NY 10306BD
CRD#: 5953
Staten Island, NY
Past
March 21, 2024 - March 22, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SCHAUMBURG, IL
Past
February 12, 2024 - March 22, 2024
CETERA ADVISORS LLC
BD
CRD#: 10299
STATEN ISLAND, NY
Past
February 9, 2024 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
STATEN ISLAND, NY
Past
July 29, 2021 - February 8, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
Staten Island, NY
Past
June 15, 2004 - February 8, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
Staten Island, NY
Past
December 11, 2001 - June 11, 2004
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 11, 2001 - June 11, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
June 24, 1997 - July 30, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 21, 1995 - May 22, 1997
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 31, 1994 - September 21, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VA
VANDERBILT ADVISORY SERVICES
4KAST ADVISORS LLC | WORDEN WEALTH MANAGEMENT | WILLIAMS CAPITAL CORPORATION | WEALTH MARK ADVISORY SERVICES | WEALTH MANAGEMENT STRATEGIES | WCM FINANCIAL MANAGEMENT | WARD FINANCIAL | WALSH FINANCIAL SOLUTIONS | VANDERBILT FINANCIAL GROUP WESTPORT | VANDERBILT ADVISORY SERVICES | THE RETIREMENT OPTIMIZATION GROUP | TAVERNIER WEALTH MANAGEMENT | TASK FORCE INVESTMENTS | STERLING CAPITOL LLC | SQUAW ISLAND LLC. | SKYE HARBOR FINANCIAL | SENTIGENT FINANCIAL SOLUTIONS, LLC | SENIOR WEALTH MANAGEMENT, INC. | RAINBOW INVESTMENT SOLUTIONS | QUALITY FINANCIAL CONCEPTS | PREMAC WEALTH MANAGEMENT | PREFERRED FINANCIAL GROUP | PFG INVESTMENTS, LLC | MOREAU FINANCIAL PLANNING | MMS ASSET MANAGEMENT | MASTERPIECE FINANCIAL GROUP | LUNARIA FINANCIAL | KT WEALTH MANAGEMENT | KING PLAN ADVISORY GROUP | KEYSTONE FINANCIAL EDGE INC | JACK CHITE & ASSOCIATES | J. BROWER & ASSOCIATES | INFINITE INVESTMENT STRATEGIES LLC | ILN SECURITIES LLC | HIRSCH ASSOCIATES | HARBORWISE FINANCIAL | HANSEN'S ADVISORY SERVICES | GRYPHON ASSET MANAGEMENT | GREENVEST | GARDINER PRIVATE WEALTH MANAGEMENT | FORTRESS WEALTH SOLUTIONS, LLC | FAVA WEALTH MANAGEMENT | EVANS GROUP FINANCIAL ADVISORS | ENDEAVOR FINANCIAL GROUP | EMPOWERED INVESTMENTS | CURBELO WEALTH MANAGEMENT GROUP LLC | CORNELIUS ASSET MANAGEMENT | CORE VALUE INVESTMENT GROUP | COMMON INTERESTS | CJW FINANCIAL SERVICES | CHASE KELLY | CHAMBERLAIN GROUP | CENTERED WEALTH | BRIN FINANCIAL | BAKER WEALTH MANAGEMENT | ARK FINANCIAL | AMERICAN CENTURION FINANCIAL | ALPHA WAVE ADVISORS | AFTON CAPITAL MANAGEMENT | ABUNDANCE WEALTH SOLUTIONS
CRD#: 116537 / SEC#: 801-77166
RIA
Registered Investment Advisory firm - (10/23/2012 Approved)California
Registered Investment Advisory firm - (11/5/2012 Terminated)Connecticut
Registered Investment Advisory firm - (11/27/2012 Terminated)Florida
Registered Investment Advisory firm - (10/31/2012 Terminated)Georgia
Registered Investment Advisory firm - (11/2/2012 Terminated)Indiana
Registered Investment Advisory firm - (10/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (11/15/2012 Terminated)Massachusetts
Registered Investment Advisory firm - (10/31/2012 Terminated)Minnesota
Registered Investment Advisory firm - (10/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (11/28/2012 Terminated)New York
Registered Investment Advisory firm - (10/31/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/1/2012 Terminated)South Carolina
Registered Investment Advisory firm - (10/31/2012 Terminated)Texas
Registered Investment Advisory firm - (10/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Colorado(11/20/2024)
RR
Florida(6/4/2024)
RR
Kentucky(5/22/2024)
RR
New Jersey(4/25/2024)
RR
New York(4/24/2024)
IAR
New York(4/24/2024)
RR
Ohio(5/19/2024)
RR
Pennsylvania(5/9/2024)
RR
South Carolina(5/2/2024)
RR
Tennessee(5/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VANDERBILT ADVISORY SERVICES
4KAST ADVISORS LLC | WORDEN WEALTH MANAGEMENT | WILLIAMS CAPITAL CORPORATION | WEALTH MARK ADVISORY SERVICES | WEALTH MANAGEMENT STRATEGIES | WCM FINANCIAL MANAGEMENT | WARD FINANCIAL | WALSH FINANCIAL SOLUTIONS | VANDERBILT FINANCIAL GROUP WESTPORT | VANDERBILT ADVISORY SERVICES | THE RETIREMENT OPTIMIZATION GROUP | TAVERNIER WEALTH MANAGEMENT | TASK FORCE INVESTMENTS | STERLING CAPITOL LLC | SQUAW ISLAND LLC. | SKYE HARBOR FINANCIAL | SENTIGENT FINANCIAL SOLUTIONS, LLC | SENIOR WEALTH MANAGEMENT, INC. | RAINBOW INVESTMENT SOLUTIONS | QUALITY FINANCIAL CONCEPTS | PREMAC WEALTH MANAGEMENT | PREFERRED FINANCIAL GROUP | PFG INVESTMENTS, LLC | MOREAU FINANCIAL PLANNING | MMS ASSET MANAGEMENT | MASTERPIECE FINANCIAL GROUP | LUNARIA FINANCIAL | KT WEALTH MANAGEMENT | KING PLAN ADVISORY GROUP | KEYSTONE FINANCIAL EDGE INC | JACK CHITE & ASSOCIATES | J. BROWER & ASSOCIATES | INFINITE INVESTMENT STRATEGIES LLC | ILN SECURITIES LLC | HIRSCH ASSOCIATES | HARBORWISE FINANCIAL | HANSEN'S ADVISORY SERVICES | GRYPHON ASSET MANAGEMENT | GREENVEST | GARDINER PRIVATE WEALTH MANAGEMENT | FORTRESS WEALTH SOLUTIONS, LLC | FAVA WEALTH MANAGEMENT | EVANS GROUP FINANCIAL ADVISORS | ENDEAVOR FINANCIAL GROUP | EMPOWERED INVESTMENTS | CURBELO WEALTH MANAGEMENT GROUP LLC | CORNELIUS ASSET MANAGEMENT | CORE VALUE INVESTMENT GROUP | COMMON INTERESTS | CJW FINANCIAL SERVICES | CHASE KELLY | CHAMBERLAIN GROUP | CENTERED WEALTH | BRIN FINANCIAL | BAKER WEALTH MANAGEMENT | ARK FINANCIAL | AMERICAN CENTURION FINANCIAL | ALPHA WAVE ADVISORS | AFTON CAPITAL MANAGEMENT | ABUNDANCE WEALTH SOLUTIONS
CRD#: 116537 / SEC#: 801-77166
RIA
Registered Investment Advisory firm - (10/23/2012 Approved)California
Registered Investment Advisory firm - (11/5/2012 Terminated)Connecticut
Registered Investment Advisory firm - (11/27/2012 Terminated)Florida
Registered Investment Advisory firm - (10/31/2012 Terminated)Georgia
Registered Investment Advisory firm - (11/2/2012 Terminated)Indiana
Registered Investment Advisory firm - (10/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (11/15/2012 Terminated)Massachusetts
Registered Investment Advisory firm - (10/31/2012 Terminated)Minnesota
Registered Investment Advisory firm - (10/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (11/28/2012 Terminated)New York
Registered Investment Advisory firm - (10/31/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/1/2012 Terminated)South Carolina
Registered Investment Advisory firm - (10/31/2012 Terminated)Texas
Registered Investment Advisory firm - (10/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Mailing Address
Phone number
(631) 845-5100
Established
Firm type
Fiscal year end
# of Employees
161
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,470 |
| AUM (Assets Under Management) | $ 2,111,673,883 |
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.
