RS
Rose Stoll
DOFT & CO.
New York, NY 10022
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CRD#: 6983641
RS
Professional summary
Rose Stoll is a registered financial professional currently at DOFT & CO., INC. located in New York, New York.
Rose is registered as a RR (Registered Representative) and started their career in finance in 2018. Rose has worked at 1 firm and has passed the SIE and Series 99 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 Rose Stoll'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
October 11, 2018 - Present
DOFT & CO., INC.
Office #1: 55 East 59th Street 12 Flr, New York, NY 10022BD
CRD#: 1660
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
D&
DOFT & CO., INC.
DOFT & CO., INC.
CRD#: 1660 / SEC#: , 8-10048
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
55 East 59th Street 12th Floor, New York, NY 10022
Mailing Address
55 East 59th Street 12th Floor, New York, NY 10022
Phone number
(212) 421-5550
Established
New York since 08/03/1961
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
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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