James Hugh Doherty
Professional Summary
James Hugh Doherty, who also goes by James H. Doherty, Jim Doherty, is a registered financial advisor currently at PAPAMARKOU WELLNER & CO., INC. located in New York, New York and CR GLOBAL MARKETS INC. located in New York, New York. James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 33 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James H. Doherty, Jim Doherty
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
AMERICAN FIDELITY ASSURANCE | AMERICAN FIDELITY SECURITIES, INC.
Contact Information
Main Address
9000 Cameron Parkway, Oklahoma City, OK 73114-3701Mailing Address
9000 Cameron Parkway, Oklahoma City, OK 73114Phone Number
(405) 416-8967Established
Oklahoma since 08/26/1969Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (28 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN FIDELITY ASSURANCE COMPANY | SHAREHOLDER | — |
| BOLDEN, TIMOTHY H | DIRECTOR | 5376036 |
| COLON, TARYN K | ASSISTANT VICE PRESIDENT, TREASURER, FINOP PRINCIPAL, AND PRINCIPAL FINANCIAL OFFICER | 7642942 |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 |
| GRANT, ANGELA FAITH | DIRECTOR | 4176509 |
| KEELING, COURTNEY DANAE | DIRECTOR, PRESIDENT/CEO AND CHIEF COMPLIANCE OFFICER | 7675059 |
| OVERFIELD, LINDA E | ASSISTANT VICE PRESIDENT | — |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(11/14/2019)
(6/18/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 2006Series 25 — NYSE Trading Assistant Examination
Passed Sep 2003Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jan 2023About the Series 28 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Hugh Doherty's CRS (Customer Relationship Summary).
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