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Registered advisor
T••••• J• D••••••
Feed of 09/14/2026
Also filed as Thomas Joseph Doherty
At current firm
5 y
since Dec 15, 2020
In the industry
29 y
since Jul 8, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Dec 15, 2020 · Newport Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 29, 2007 to Dec 15, 2020 · Newport Beach, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jul 6, 2007 · Monarch Beach, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Apr 2, 2007 · Monarch Bch, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 15, 2020, registered Dec 15, 2020 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 6, 2007, registered Jun 29, 2007 (-7 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address