Brian C. Doherty
Professional summary
Brian Colin Doherty was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Brian had worked at 6 firms, which includes WHITAKER SECURITIES LLC, LPS CAPITAL LLC, MINT BROKERS, BGC FINANCIAL L.P., TP ICAP GLOBAL MARKETS AMERICAS LLC, TRADITION SECURITIES AND DERIVATIVES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2017 - June 15, 2020
WHITAKER SECURITIES LLC
June 5, 2017 - September 6, 2017
LPS CAPITAL LLC
September 24, 2007 - November 26, 2008
MINT BROKERS
September 6, 2004 - September 17, 2015
BGC FINANCIAL, L.P.
September 23, 1997 - May 21, 1998
TP ICAP GLOBAL MARKETS AMERICAS LLC
August 6, 1996 - August 21, 1997
TRADITION SECURITIES AND DERIVATIVES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 11/18/2004
Corporate Securities Limited Representative ExaminationSeries 72
Date: 9/3/2004
Government Securities Representative ExaminationCurrent Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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