James H. Doherty
Professional summary
James Hugh Doherty, who also goes by James H. Doherty, Jim Doherty, is a registered financial professional currently at PAPAMARKOU WELLNER & CO., INC. located in New York, New York and CHINA RENAISSANCE SECURITIES (US) 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 55, Series 25, Series 7, Series 28 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Hugh Doherty's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 29, 2019 - Present
PAPAMARKOU WELLNER & CO., INC.
Office #1: 430 Park Avenue 17th Floor, New York, NY, 10022June 18, 2019 - Present
CHINA RENAISSANCE SECURITIES (US) INC.
Office #1: 295 Madison Avenue 18th Floor, New York, NY 10017June 21, 2019 - Present
RAINE SECURITIES LLC
Office #1: 65 East 55th Street 24th Floor, New York, NY 10022July 1, 2019 - Present
BRADESCO SECURITIES, INC.
Office #1: 450 Park Avenue 32nd Floor, New York, NY 10022July 11, 2019 - Present
ODDO BHF NEW YORK CORPORATION
Office #1: 150 East 52nd Street 5th Floor, New York, NY 10022July 26, 2019 - Present
BAIN CAPITAL MARKETS, LLC
Office #1: 200 Clarendon Street, Boston, MA 02116September 27, 2019 - Present
WINTERFLOOD SECURITIES US CORPORATION
Office #1: 1460 Broadway 9th Floor, New York, NY, 10036November 15, 2019 - Present
BONDS.COM LLC
Office #1: 32 Old Slip 34th Floor, New York, NY 10005November 18, 2019 - Present
FOROS SECURITIES LLC
Office #1: 461 Fifth Avenue 17th Floor, New York, NY 10017November 19, 2019 - Present
LIONTREE ADVISORS LLC
Office #1: 745 Fifth Avenue 15th Floor, New York, NY 10151January 16, 2020 - Present
EASTDIL SECURED ADVISORS LLC
Office #1: 100 Wilshire Blvd., Suite 1500, Santa Monica, CA 90401February 26, 2020 - Present
TRANSPACIFIC GROUP LLC
Office #1: 150 Se 2nd Avenue Suite 1401, Miami, FL 33131March 12, 2020 - Present
EAST WEST MARKETS, LLC
Office #1: 5001 Spring Valley Road Suite 400w, Dallas, TX 75244April 27, 2020 - Present
UNITED FIRST PARTNERS LLC
Office #1: 3 Columbus Circle Suite 1730, New York, NY 10019June 4, 2020 - Present
VAN LANSCHOT KEMPEN (USA) INC.
Office #1: 880 Third Avenue, New York, NY 10022July 22, 2020 - Present
MEC GLOBAL PARTNERS LLC
Office #1: One Federal Street 17th Floor, Boston, MA 02110December 6, 2021 - Present
GEMINI GALACTIC MARKETS, LLC
Office #1: 315 Park Avenue South, New York, NY 10010Office #2: 315 Park Avenue South, New York, NY 10010April 8, 2022 - Present
HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC
Office #1: 1350 Avenue Of The Americas 33rd Floor, New York, NY 10019June 23, 2022 - Present
YIELDSTREET MARKETS LLC
Office #1: 300 Park Avenue 15th Floor, New York, NY 10022December 22, 2023 - Present
EAGLE POINT SECURITIES LLC
Office #1: 600 Steamboat Road Suite 202, Greenwich, CT 06830September 19, 2024 - Present
FLOWW PRIVATE MARKETS US
Office #1: 1111 Brickell Avenue Sabadell Financial Center, Suite 2725, Miami, FL 33131January 15, 2025 - Present
INDEPENDENT BROKERAGE SOLUTIONS LLC
Office #1: 485 Madison Avenue 15th Floor, New York, NY 10022April 21, 2025 - Present
AMERICAN FIDELITY SECURITIES, INC.
Office #1: 9000 Cameron Parkway, Oklahoma City, OK 73114-3701December 17, 2024 - May 8, 2025
BANCO DO BRASIL SECURITIES LLC
January 27, 2023 - May 31, 2023
HEDGE PRO
July 7, 2022 - August 3, 2023
CVEX MARKETS LLC
June 16, 2021 - June 25, 2022
REVOLUT SECURITIES INC.
October 26, 2020 - August 2, 2021
ASHFORD SECURITIES LLC
May 8, 2020 - December 9, 2022
VICENTE & PARTNERS LLC
January 23, 2020 - August 3, 2023
SPC CAPITAL MARKETS LLC
October 8, 2019 - June 5, 2020
YIELDSTREET MARKETS LLC
June 18, 2019 - October 9, 2019
INDEPENDENT BROKERAGE SOLUTIONS LLC
June 18, 2019 - December 23, 2021
OLIVETREE FINANCIAL, LLC
March 26, 2019 - May 20, 2019
INDEPENDENT BROKERAGE SOLUTIONS LLC
December 1, 2008 - September 12, 2017
BAY CREST PARTNERS, LLC
July 7, 2000 - June 3, 2008
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/14/2019)
(6/18/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/1/2006
Limited Representative-Equity Trader ExamSeries 25
Date: 9/2/2003
NYSE Trading Assistant ExaminationSeries 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Nasdaq Stock Market
Current Firm
AMERICAN FIDELITY SECURITIES, INC.
CRD#: 11852 / SEC#: , 8-15123
Contact information
FINRA licenses (27 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 | ASSISTANT VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 7675059 |
| KENNEY, CHRISTOPHER THOMAS | CHAIRMAN OF THE BOARD, CEO, AND PRESIDENT | 5452832 |
| OVERFIELD, LINDA E | ASSISTANT VICE PRESIDENT |
Disclosures
| Regulatory Event | 1 |
Red Flags
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