Harold E. Doley
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.
Harold Emanuel Doley JR, who also goes by Harold Emanuel Doley, Harold Emmanuel Doley Jr, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1968. Harold had worked at 6 firms and has passed the Series 7TO, Series 52TO, Series 79TO, Series 99TO, SIE, Series 1, Series 27, Series 24, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2022 - October 31, 2023
SECURITY CAPITAL BROKERAGE, INC.
October 23, 2012 - December 17, 2012
GUZMAN & COMPANY
October 5, 2012 - January 24, 2022
QUOIN CAPITAL LLC
March 22, 1976 - July 20, 2012
DOLEY SECURITIES, LLC.
May 16, 1974 - April 29, 1976
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
December 18, 1968 - October 21, 1973
BACHE & CO INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 12/16/1968
Registered Representative ExaminationF04
Date: 10/25/1978
Financial Principal ExaminationSeries 40
Date: 2/26/1976
Registered Principal ExaminationCurrent Firm
SECURITY CAPITAL BROKERAGE, INC.
CRD#: 35405 / SEC#: , 8-46669
Contact information
FINRA licenses (7 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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