ED
Elizabeth T. Dooley
CITY NATIONAL ROCHDALE
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 2835793
ED
Professional summary
Elizabeth Teresa Dooley, CPWA®, who also goes by Betty Dooley, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in New York, New York and CNR SECURITIES, LLC located in New York, New York.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Elizabeth has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Betty Dooley
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.
(1) Name of Entity: EMJ Partners LLC; Investment-related; Address: 2370 36th Street, Astoria, NY 11105. Mailing Address: PO Box 1037, Milford, PA 18337; Nature of OBA: Rental Property; Position/Title/Relationship: Partner; Start Date: 01/01/2008; Time devoted: 2 hours per month; 0 during securities trading hours; Duties: Owner/Manager. (2) Name of Entity: 2643 Partners LLC; Investment-related; Address: 2643 29th Street, Astoria, NY 11102. Mailing Address: PO Box 1037, Milford, PA 18337; Nature of OBA: Rental Property; Position/Title/Relationship: Partner; Start Date: 09/12/2012; Time devoted: 2 hours per month; 0 during securities trading hours; Duties: Owner/Manager. (3) Name of Entity: Waldron St. Partner II LLC; Investment-related; Address: 2117 19th Street, Astoria, NY 11105. Mailing Address: PO Box 1037, Milford, PA 18337; Nature of OBA: Rental Property; Position/Title/Relationship: Partner; Start Date: 01/09/2017; Time devoted: 2 hours per month; 0 during securities trading hours; Duties: Owner/Manager. (4) Name of Entity: 1832 21st Drive; Investment-related; Address: 1832 21st Drive, Astoria, NY 11105. Mailing Address: PO Box 1037, Milford, PA 18337; Nature of OBA: Rental Property; Position/Title/Relationship: Sole Proprietor; Start Date: 09/17/2013; Time devoted: 2 hours per month; 0 during securities trading hours; Duties: Owner/Manager. (5) Name of Entity: Hunting Gate Holdings LLC; Investment-related; Address: 2272 38th Street Astoria, NY 11105; Nature of OBA: This LLC was set up for estate planning purposes. I transferred my ownership interests in Waldron St. Partners II LLC, 2643 Partners LLC & 2645 Partners LLC into this LLC. I then gifted the following ownership: 15% to my brother John, 5% each to his children Daniel & Ella Rose, 5% to my sister Mairead, 5% each to her children Tom & Conn.; Position/Title/Relationship: Partner; Start Date: 12/28/2023; Time devoted: 5 hours per month; 0 during securities trading hours; Duties: Make all decision related to tenants & finances. (6) Name of Entity: Bohermore Partners LLC; Investment-related; Address: 2272 38th Street Astoria, NY 11105; Nature of OBA: This LLC was set up for estate planning purposes. I transferred my ownership interests in Waldron St. Partners I LLC & EMJ Partners LLC into this LLC. I then gifted 24.5% ownership to my brother John & 8% ownership to my brother Michael.; Position/Title/Relationship: Partner; Start Date: 12/28/2023; Time devoted: 5 hours per month; 0 during securities trading hours; Duties: Make all tenant & financial decisions related to the properties owned. (7) Name of Entity: 2312 Partners LLC; Investment-related; Address: 2312 30th Road, Astoria, NY 11102. Mailing Address: PO Box 1037, Milford PA 18337 ; Nature of OBA: Rental property; Position/Title/Relationship: Partner; Start Date: 2024-08-01; Time devoted: 2 hours per month; 0 during securities trading hours; Duties: Owner. Manage the finances (collect rents & pay bills). John Dooley (brother) does the day to day activities. (8) Name of Entity: 1832 Partners LLC; Investment-related; Address: 1832 21st Drive, Astoria, NY 11105. Mailing Address: PO Box 1037, Milford, PA 18337 ; Nature of OBA: Rental property; Position/Title/Relationship: Sole Proprietor; Start Date: 2013-09-17; Time devoted: 2 hours per month; 0 during securities trading hours; Duties: Owner/manager.
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Teresa Dooley's 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®
CPWA®
Start date: 2021-04-26
Expire date: 2023-03-31
Experience
Current
March 16, 2001 - Present
CITY NATIONAL ROCHDALE
Office #1: 570 Lexington Ave., New York, NY 10022RIA
CRD#: 117198
NEW YORK, NY
Current
March 22, 2000 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022BD
CRD#: 18466
NEW YORK, NY
Past
December 18, 1998 - September 22, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
December 14, 1998 - August 19, 1999
NEPTUNE SECURITIES FINANCE CORPORATION
BD
CRD#: 44244
NEW YORK, NY
Past
January 8, 1997 - December 18, 1998
CITICORP SECURITIES, INC.
BD
CRD#: 7474
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(1/13/2014)
RR
Arizona(1/13/2014)
RR
Arkansas(1/13/2014)
IAR
California(3/16/2001)
RR
California(1/13/2014)
RR
Colorado(1/13/2014)
RR
Connecticut(1/13/2014)
RR
Delaware(1/13/2014)
RR
District of Columbia(11/6/2017)
RR
Florida(1/13/2014)
IAR
Florida(4/7/2014)
RR
Georgia(1/13/2014)
RR
Indiana(1/13/2014)
RR
Kansas(1/13/2014)
RR
Kentucky(1/13/2014)
RR
Louisiana(1/13/2014)
RR
Maine(1/13/2014)
RR
Maryland(1/13/2014)
RR
Massachusetts(1/13/2014)
RR
Michigan(1/13/2014)
RR
Mississippi(1/13/2014)
RR
Missouri(1/13/2014)
RR
Montana(1/21/2016)
RR
New Hampshire(1/13/2014)
RR
New Jersey(1/13/2014)
RR
New York(3/22/2000)
IAR
New York(4/5/2021)
RR
North Carolina(1/13/2014)
IAR
North Carolina(7/21/2023)
RR
Ohio(1/13/2014)
RR
Oregon(1/13/2014)
RR
Pennsylvania(1/13/2014)
IAR
Pennsylvania(7/21/2023)
RR
Rhode Island(1/13/2014)
RR
South Carolina(1/13/2014)
RR
Tennessee(1/13/2014)
RR
Texas(1/13/2014)
IAR
Texas(2/7/2025)
RR
Utah(1/13/2014)
RR
Vermont(1/23/2019)
RR
Virginia(1/13/2014)
RR
Washington(1/13/2014)
RR
West Virginia(1/13/2014)
RR
Wisconsin(1/13/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/29/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
235
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
