DOFT & CO., INC. / NEW YORKSEC registered broker-dealer · Member FINRA / SIPC
DOFT & CO.INCORPORATED EST. 1961
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HomeCredentials & Compliance
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”.

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

Questions, answered.

How can I verify the firm?

Search “Doft & Co., Inc.” or CRD 1660 on FINRA BrokerCheck. Match the legal name, registration numbers and contact details with the official record. The SIPC directory provides a separate membership check.

What does SIPC protection cover?

Subject to SIPC rules, protection is limited to $500,000, including up to $250,000 for cash, for missing eligible assets at a failed member brokerage. It does not cover market losses, investment performance or unsuitable investment advice.

Does the firm have regulatory disclosures?

Yes. BrokerCheck lists four historical regulatory events with a Final status. Review the full report for the events, findings and sanctions.

View the full disclosure record
What should I know before opening an account?

Review account eligibility, available services, required documents and fees before applying. Account opening is subject to review and applicable requirements. This website does not accept trading instructions.

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