Bernard J. Doherty
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.
Bernard Joseph Doherty, who also goes by Ben Doherty, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1969. Bernard had worked at 9 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 1998 - October 7, 1998
H.C.WAINWRIGHT & CO., LLC
October 10, 1994 - May 7, 1998
JOSEPHTHAL & CO., INC.
February 6, 1990 - September 26, 1994
KIDDER, PEABODY & CO. INCORPORATED
November 30, 1988 - January 17, 1990
FINANCIAL SQUARE PARTNERS
April 29, 1988 - November 26, 1988
LEGG MASON WOOD WALKER, INCORPORATED
September 30, 1980 - March 14, 1988
MOSELEY SECURITIES CORPORATION
February 2, 1977 - October 9, 1980
DREXEL BURNHAM LAMBERT INCORPORATED
October 5, 1970 - February 21, 1977
WHITE, WELD & CO. INCORPORATED
February 26, 1969 - December 21, 1971
GLORE FORGAN STAATS 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
PC
Date: 2/11/1980
AMEX Put and Call ExamSeries 1
Date: 2/18/1969
Registered Representative ExaminationCurrent Firm
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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