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SD

Steven J. Doherty

LOOMIS SAYLES DISTRIBUTORS, L.P.
Gaithersburg, MD 20882
Some features on this profile are disabled
CRD#: 3062128
SD

Professional summary

Steven John Doherty is a registered financial professional currently at LOOMIS SAYLES DISTRIBUTORS, L.P. located in Gaithersburg, Maryland.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1998. Steven has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven John Doherty'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®
None

Experience

Current

July 27, 1998 - Present

LOOMIS SAYLES DISTRIBUTORS, L.P.

Office #1: Suite 220 9841 Washingtonian Blvd., Gaithersburg, MD 20882
BD
CRD#: 41795
Gaithersburg, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arizona
(5/11/2005)
RR
Colorado
(5/11/2005)
RR
Delaware
(5/11/2005)
RR
District of Columbia
(7/8/2002)
RR
Florida
(5/11/2005)
RR
Georgia
(5/11/2005)
RR
Louisiana
(5/20/2005)
RR
Maryland
(5/11/2005)
RR
Michigan
(5/11/2005)
RR
Mississippi
(5/11/2005)
RR
New Jersey
(5/11/2005)
RR
New York
(5/11/2005)
RR
Ohio
(5/12/2005)
RR
Pennsylvania
(5/11/2005)
RR
Rhode Island
(5/11/2005)
RR
Vermont
(5/11/2005)
RR
Virginia
(5/11/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LOOMIS SAYLES DISTRIBUTORS, L.P.
LOOMIS SAYLES DISTRIBUTORS, L.P.

CRD#: 41795 / SEC#: , 8-49575

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Financial Center, Boston, MA 02111
Mailing Address
One Financial Center, Boston, MA 02111-2620
Phone number
(617) 482-2450
Established
Delaware since 07/25/1996
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LOOMIS SAYLES & COMPANY, L.P.LIMITED PARTNER OF REGISTRANT AND 100% OWNER OF GENERAL PARTNER
KLOCEK, JOHN FRANCISVICE PRESIDENT, CHIEF COMPLIANCE OFFICER6256015
LEGER, MAURICE PAULPRESIDENT4575004
LOOMIS SAYLES DISTRIBUTORS, INC.SOLE GENERAL PARTNER
MCCARTHY, MARYVP, SECRETARY
O'CONNOR, OLGA A.VICE PRESIDENT, TREASURER, PRINCIPAL FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL7436902

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.

Company Information

LOOMIS SAYLES DISTRIBUTORS, L.P.

CRD#: 41795Gaithersburg, MD 20882

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