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JD

Jonathan A. Doft

DOFT & CO.
New York, NY 10022
Some features on this profile are disabled
CRD#: 2320497
JD

Professional summary

Jonathan Andrew Doft is a registered financial professional currently at DOFT & CO., INC. located in New York, New York.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1993. Jonathan has worked at 1 firm and has passed the SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Andrew Doft's CRS (Customer Relationship Summary).
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 25, 1993 - Present

DOFT & CO., INC.

Office #1: 55 East 59th Street 12 Flr, New York, NY 10022Office #2: 55 East 59th Street 12th Floor, New York, NY 10022
BD
CRD#: 1660
New York, NY

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
Florida
(6/28/2022)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/5/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

D&
DOFT & CO., INC.
DOFT & CO., INC.

CRD#: 1660 / SEC#: , 8-10048

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
55 East 59th Street 12th Floor, New York, NY 10022
Mailing Address
55 East 59th Street 12th Floor, New York, NY 10022
Phone number
(212) 421-5550
Established
New York since 08/03/1961
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DOFT, ALANDIRECTOR69360
DOFT, JONATHAN ANDREWSECRETARY/DIRECTOR2320497
DOFT, JONATHAN ANDREWCHIEF COMPLIANCE OFFICER (CCO)2320497
DOFT, JONATHAN ANDREWPRESIDENT2320497
DOFT, JONATHAN ANDREWOPERATIONS PRINCIPAL2320497
DOFT, RACHEL ALISONDIRECTOR2320922
HAMAOUI, ROBERT CVICE PRESIDENT1333905
HAMAOUI, ROBERT CFINANCIAL PRINCIPAL1333905

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

DOFT & CO., INC.

CRD#: 1660New York, NY 10022

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