Julie L. 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.
Julie Leavitt Doherty, who also goes by Julie Doherty, Julie A Leavitt, Julie Ann Leavitt, was a registered financial professional .
Julie is a previously registered financial professional and started their career in finance in 1993. Julie had worked at 5 firms and has passed the Series 63, 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
February 2, 2016 - February 16, 2018
BAADER HELVEA INC.
November 9, 2011 - November 2, 2015
BERENBERG CAPITAL MARKETS LLC
October 1, 2008 - May 23, 2011
J.P. MORGAN SECURITIES LLC
September 14, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 8, 2005 - September 11, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 1993 - September 11, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
BAADER HELVEA INC.
CRD#: 132007 / SEC#: , 8-66540
Contact information
FINRA licenses (39 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAADER HELVEA AG | DIRECT OWNER | |
| AMMER, JOCHEN GUENTHER VOLKER | DIRECTOR | 2151302 |
| AMMER, JOCHEN GUENTHER VOLKER | PRESIDENT/CCO | 2151302 |
| BENDER, STEVEN CHRISTOPHER | PFO, POO | 2650187 |
| BENDER, STEVEN CHRISTOPHER | FINOP | 2650187 |
| DEANE, MORGAN ESQ | SECRETARY | 6116799 |
| DEANE, MORGAN ESQ | DIRECTOR | 6116799 |
| HAUSER, TIMON GERHARD | DIRECTOR | 7901577 |
| NIEDERMAYER, SEBASTIAN JOSEF | DIRECTOR | 5225454 |
| RIEDEL, OLIVER | DIRECTOR | 4680070 |
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.
