JD
John P. Doherty
LEVEL MARKETS
Boston, MA 02110
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CRD#: 6600280
JD
Professional summary
John Patrick Doherty is a registered financial professional currently at LEVEL MARKETS, LLC located in Boston, Massachusetts.
John is registered as a RR (Registered Representative) and started their career in finance in 2016. John has worked at 1 firm and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view John Patrick 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®
NoneExperience
Current
May 10, 2016 - Present
LEVEL MARKETS, LLC
Office #1: 99 Summer Street Suite 1700, Boston, MA 02110BD
CRD#: 171752
Boston, MA
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
California(7/28/2016)
RR
Colorado(7/28/2016)
RR
Connecticut(7/28/2016)
RR
Georgia(7/28/2016)
RR
Illinois(7/28/2016)
RR
Maryland(7/28/2016)
RR
Massachusetts(7/28/2016)
RR
New Jersey(7/28/2016)
RR
New York(7/28/2016)
RR
North Carolina(7/28/2016)
RR
Ohio(7/28/2016)
RR
Pennsylvania(7/28/2016)
RR
Texas(7/28/2016)
RR
Vermont(7/28/2016)
RR
Virginia(7/28/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LM
LEVEL MARKETS, LLC
BEACON TRADING & ANALYTICS LLC | LUMINEX TRADING & ANALYTICS LLC | LEVEL MARKETS, LLC | KEZAR TRADING, LLC
CRD#: 171752 / SEC#: , 8-69476
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
99 Summer Street Suite 1700, Boston, MA 02110
Mailing Address
99 Summer Street Suite 1700, Boston, MA 02110
Phone number
(617) 286-8080
Established
Delaware since 04/28/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (15 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEVEL HOLDINGS, LLC | OWNER | |
| DOLAN, JAMES CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 3219968 |
| HAGEN, DAVID WALTER | CHIEF PRODUCT OFFICER | 2101752 |
| LINARES, JOHN FITZGERALD | GENERAL COUNSEL, CORPORATE SECRETARY | 3104547 |
| MIELE, STEPHEN R | CHIEF EXECUTIVE OFFICER | 2645590 |
| STUPAY, MICHAEL ELLIOT | FINOP,PRINCIPAL OPERATIONS OFFICER, PRINCIPAL FINANCIAL OFFICER | 2287906 |
Red Flags
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Company Information
LEVEL MARKETS, LLC
CRD#: 171752Boston, MA 02110TRUST BUT VERIFY
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