Adrian W. 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.
Adrian Walter Doherty, who also goes by Adrian Walter Doherty Jr, Buzz Doherty, was a registered financial professional .
Adrian is a previously registered financial professional and started their career in finance in 1993. Adrian had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2011 - June 29, 2020
NORTH SEA SECURITIES L.P.
July 18, 2007 - November 3, 2009
RIDGEWOOD SECURITIES CORPORATION
June 14, 2002 - July 19, 2006
BARCLAYS CAPITAL INC.
July 13, 1999 - July 25, 2001
CITIGROUP GLOBAL MARKETS INC.
September 21, 1993 - June 14, 1999
JPMSI
State Registrations and Notice Filings
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Exams
Current Firm
NORTH SEA SECURITIES L.P.
CRD#: 35530 / SEC#: , 8-47071
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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