James Doherty

James Doherty has a extensive work experience in the financial industry. James is currently the Managing Director at DFP Partners, where they oversee the day-to-day operations of the firm's broker-dealer clients. Prior to this, they worked at Bay Crest Partners for several years as a Sales Trader/Operations Manager and Assistant Compliance Officer. James also held positions at Bear Stearns, where they served as an Institutional Trading-Vice President and NYSE Member, Head of Operations- Vice President. Additionally, they worked as a Senior Operations Manager and Stock and Options Trade Support at Bear Stearns & Company. Throughout their career, James has demonstrated strong compliance knowledge and expertise in the financial industry regulations.

James Doherty obtained their high school diploma from Chaminade HS between the years 1987 and 1990. Afterward, they pursued higher education at Fordham University, where they earned a Bachelor of Science degree in Finance from 1990 to 1994. In addition to their formal education, James Doherty has obtained various certifications from FINRA, including Series 7, 15, 25, 27, 28, 55, 57, 63, and 99. Detailed information regarding the specific months and years of their certification acquisition is unavailable.