Alan Doft
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.
Alan Doft was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1961. Alan had worked at 1 firm and has passed the Series 57TO, Series 52TO, Series 99TO, Series 7TO, SIE, Series 55, PC, Series 41, Series 1, Series 27, Series 24 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 1961 - June 27, 2022
DOFT & CO., INC.
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 8/29/2002
Limited Representative-Equity Trader ExamPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 41
Date: 8/10/1970
NYSE Allied Member ExaminationSeries 1
Date: 11/21/1961
Registered Representative ExaminationCurrent Firm
DOFT & CO., INC.
CRD#: 1660 / SEC#: , 8-10048
Contact information
FINRA licenses (3 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOFT, ALAN | DIRECTOR | 69360 |
| DOFT, JONATHAN ANDREW | SECRETARY/DIRECTOR | 2320497 |
| DOFT, JONATHAN ANDREW | CHIEF COMPLIANCE OFFICER (CCO) | 2320497 |
| DOFT, JONATHAN ANDREW | PRESIDENT | 2320497 |
| DOFT, JONATHAN ANDREW | OPERATIONS PRINCIPAL | 2320497 |
| DOFT, RACHEL ALISON | DIRECTOR | 2320922 |
| HAMAOUI, ROBERT C | VICE PRESIDENT | 1333905 |
| HAMAOUI, ROBERT C | FINANCIAL PRINCIPAL | 1333905 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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