DOFT & CO., INC. / NEW YORKSEC registered broker-dealer · Member FINRA / SIPC
DOFT & CO.INCORPORATED EST. 1961
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NEW YORK HERITAGE. PROFESSIONAL BROKERAGE.

An established name.
A registered U.S.
securities broker.

Doft & Co., Inc. brings a New York heritage to securities brokerage, with publicly available registration records and a clearly defined clearing relationship.

Explore our credentialsView FINRA BrokerCheck
ESTABLISHED 1961NEW YORK, UNITED STATESDOFT & CO., INC.
01 / REGISTRATION & MEMBERSHIPS

Credentials you
can verify.

Know the firm behind your account. These three organizations serve different roles in the U.S. securities industry.

SEC
Federal registration

Registered broker-dealer

Doft is registered with the U.S. Securities and Exchange Commission as a securities broker-dealer.

SEC No. 8-10048Registration effective Nov. 1, 1961View registration record
FINRA
Industry oversight

FINRA member

FINRA oversees its member broker-dealers. BrokerCheck lets you review our registration and disclosure record.

CRD No. 1660Member since Nov. 16, 1961Open BrokerCheck
SIPC
Investor protection

SIPC member

SIPC protection addresses missing customer cash and securities when a member brokerage fails, subject to its rules and limits.

Securities Investor Protection CorporationProtection does not cover market losses.Search SIPC members

Registration and membership are not regulatory endorsements or guarantees of investment performance. On the SIPC directory, search for “DOFT & CO INC”.

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1961FOUNDED IN NEW YORK

A history measured
in decades.

02 / OUR FIRM

New York roots.
A professional perspective.

Founded on August 3, 1961, Doft & Co., Inc. is a New York securities brokerage firm. Our business connects clients with securities markets through brokerage and execution services.

Our public records identify the firm, its registered activities and its clearing arrangements. The Customer Relationship Summary explains our retail services, fees and conflicts of interest.

Discover our firm
03 / SECURITIES CAPABILITIES

Expertise, with a
defined scope.

Explore our registered business activities. Contact the firm to discuss available services and account eligibility.

01

Equity brokerage

Brokerage in corporate equity securities traded over the counter.

02

Market access & execution

Exchange commission business through direct market access (DMA).

03

Offering participation

Underwriting or selling-group participation in corporate securities, excluding mutual funds.

Explore our securities capabilities
04 / INVESTOR ACADEMY

Knowledge opens doors.
Trust grows over time.

We offer free investor education to make market knowledge accessible, build brand trust and help people understand the thinking behind our quantitative system.

01

Accessible knowledge

Understand market mechanisms, research methods and investment risk.

02

Lasting brand trust

Build recognition through useful content and sustained communication.

03

Quantitative understanding

Understand the purpose and research approach of the TSQS system.

Why we make investor education free
05 / OUR IN-HOUSE QUANTITATIVE SYSTEM

Tomorrow’s Star
Quantitative System

Tomorrow’s Star Quantitative System TSQS

The Future of Investing
Is Data-Driven.

Our in-house quantitative system brings data, models and risk awareness into a structured research framework. Its development focuses on market analysis, strategy research, investment decision support and risk management.

Explore the Tomorrow’s Star system
TSQSIN-HOUSE
QUANTITATIVE SYSTEM

Tomorrow’s Star
Quantitative System

01DATA
02MODELS
03RISK
RESEARCH · VALIDATION · EVOLUTION
Market dataSystematic decisionsStrategy researchData processingRisk managementModel refinement

An introduction to our research and development approach. Quantitative methods do not eliminate investment risk; historical results do not guarantee future performance.

06 / BROKERAGE & CLEARING

A clear structure.
Distinct responsibilities.

Doft provides brokerage services. Pershing LLC is the firm’s disclosed clearing broker. Your account documents set out the specific arrangements.

YOUR BROKERAGE RELATIONSHIP

Doft & Co., Inc.

CRD 1660

Handles the brokerage relationship and introduces customers to the clearing broker. Doft does not itself hold or maintain customer funds or securities.

CLEARING
RELATIONSHIP
CLEARING BROKER

Pershing LLC

CRD 7560

Doft’s Customer Relationship Summary identifies Pershing as the firm through which its transactions are cleared.

Disclosed clearing relationship effective September 25, 2002.View the disclosed arrangement
Understand the clearing arrangement
07 / DOCUMENTS & DISCLOSURES

The information
behind your decision.

Review official records, understand the service relationship and learn what investor protection covers.

02

Customer relationship summary

Retail services, fees and conflicts. Revised May 2023.

Read Form CRS · PDF
03

SIPC protection explained

The scope and limits of securities investor protection.

Visit SIPC.org
Read disclosures and common questions
08 / CONTACT THE FIRM

A conversation
starts here.

Speak with the firm about brokerage services and account requirements.

NEW YORK OFFICE
55 East 59th Street, 12th Floor
New York, NY 10022
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