Thomas J Doherty

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2007 → 12/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
  Newport Beach, CA
• 06/2011 → 12/2020
  Bank Of America,N.A.
  Newport Beach, CA
• 12/2020 → Present
  Stifel, Nicolaus & Company, Incorporated(793)
  Newport Beach, CA

Previous Registrations

• 2007-06-29 → 2020-12-15
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Newport Beach, CA
  Newport Beach, CA
  Newport Beach, CA
• 2007-04-02 → 2007-07-06
  Morgan Stanley & Co. Llc
  Monarch Beach, CA
• 1997-07-08 → 2007-04-02
  Morgan Stanley Dw Inc.
  Monarch Bch, CA
  Monarch Beach, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-05-03
• S63 Uniform Securities Agent State Law Examination
  1999-04-30

Other Names

• Thomas Joseph Doherty
• Thomas Joseph Doherty Iii
• Thomas Joseph Doherty
• Thomas Joseph Doherty Iii