James 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.
James Doherty was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 3 firms and has passed the Series 63, SIE, Series 57, Series 3, Series 55, 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
November 19, 2018 - June 7, 2021
DASH FINANCIAL TECHNOLOGIES LLC
August 24, 1997 - September 30, 2014
CREDIT SUISSE SECURITIES (USA) LLC
February 29, 1996 - August 20, 1996
DAIWA CAPITAL MARKETS AMERICA INC.
February 28, 1996 - August 20, 1996
DAIWA CAPITAL MARKETS AMERICA INC.
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
Series 55
Date: 1/22/2001
Limited Representative-Equity Trader ExamCurrent Firm
DASH FINANCIAL TECHNOLOGIES LLC
CRD#: 104031 / SEC#: , 8-52503
Contact information
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 68 |
Red Flags
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