Stephen G. Doherty
Professional summary
Stephen Gerard Doherty, who also goes by Steve Doherty, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in St. Petersburg, Florida.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Gerard Doherty's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 5, 2012 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 100 Fountain Parkway, St. Petersburg, FL 33716March 3, 2011 - October 18, 2011
MERRIMAN CAPITAL, INC.
August 10, 2010 - February 18, 2011
WEDGE SECURITIES, LLC
November 6, 2007 - August 4, 2009
PALI CAPITAL, INC.
October 18, 1996 - June 29, 2007
JEFFERIES LLC
December 14, 1995 - October 14, 1996
MINT BROKERS
July 22, 1995 - October 14, 1996
CANTOR FITZGERALD SECURITIES
December 2, 1992 - July 5, 1995
QUICK & REILLY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 8/13/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064St. Petersburg, FL 33716TRUST BUT VERIFY
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