Deborah E. Doty
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.
Deborah Ellen Doty, who also goes by Deborah Ellen Doty, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 2002. Deborah had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2015 - April 6, 2017
NAVY FEDERAL INVESTMENT SERVICES, LLC
April 22, 2009 - March 24, 2011
CETERA INVESTMENT SERVICES LLC
July 6, 2005 - October 10, 2008
CHASE INVESTMENT SERVICES CORP.
March 21, 2002 - July 6, 2005
BANC ONE SECURITIES CORPORATION
Primary Firm SEC Registration
NAVY FEDERAL INVESTMENT SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
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
Current Firm
NAVY FEDERAL INVESTMENT SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,472 |
| AUM (Assets Under Management) | $ 1,713,608,579 |
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.
