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JD

John J. Doria

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CRD#: 826504
JD

Professional summary

John Joseph Doria was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, John had worked at 3 firms, which includes HATTIER SANFORD & REYNOIR A LIMITED PARTNERSHIP L.L.P., DORSEY & COMPANY INC., THOMSON MCKINNON SECURITIES INC..

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 24, 1987 - January 9, 2006

HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P.

BD
CRD#: 2148
GERMANTOWN, TN
Past

March 10, 1981 - November 24, 1987

DORSEY & COMPANY, INC.

BD
CRD#: 1668
Past

November 24, 1980 - March 23, 1981

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829

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

State Security Law Exam
RR
Series 63
Date: 12/15/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/21/1976
General Securities Representative Examination

Current Firm

HS
HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P.
HATTIER, SANFORD & REYNOIR | HSR INVESTMENTS | HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P.

CRD#: 2148 / SEC#: , 8-8201

BD
Terminated by SEC on 01/18/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Louisiana since 01/01/1960
Firm type
Partnership
Fiscal year end
July
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MID-AMERICA CAPITAL MARKETS, INC.PARTNER
MCGINNIS, MICHAEL TAYLORPARTNER/CEO
REYNOIR, VANCE GREENSLITPARTNER1060803
WILSON, LOWELL STERLINGPARTNER/CFO/CCO2322723

Disclosures

Regulatory Event13
Civil Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P.

CRD#: 2148

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