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MD

Michael Blaise Doherty

LEBENTHAL FINANCIAL SERVICES

JERICHO, NY

·CRD# 1325333·41 years experience

Professional Summary

Michael Blaise Doherty, who also goes by Michael B Doherty, is a registered financial advisor currently at LEBENTHAL FINANCIAL SERVICES, INC. located in Jericho, New York. Michael is registered as a RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael B Doherty

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

LEBENTHAL FINANCIAL SERVICES, INC.·CRD# 137988

BD

500 N. Broadway Suite 238, Jericho, NY 11753

May 5, 2025 - Present

LPL ENTERPRISE, LLC·CRD# 8733

RIA

Massapequa, NY

November 14, 2024 - May 9, 2025

LPL ENTERPRISE, LLC·CRD# 8733

BD

Massapequa, NY

November 14, 2024 - May 9, 2025

PRUCO SECURITIES, LLC.·CRD# 5685

RIA

Massapequa, NY

April 19, 2021 - November 14, 2024

PRUCO SECURITIES, LLC.·CRD# 5685

BD

Massapequa, NY

December 4, 2020 - November 14, 2024

HSBC SECURITIES (USA) INC.·CRD# 19585

RIA

Flushing, NY

August 7, 2013 - February 5, 2020

HSBC SECURITIES (USA) INC.·CRD# 19585

BD

Flushing, NY

June 26, 2013 - February 5, 2020

ASSET & FINANCIAL PLANNING, LTD·CRD# 110709

RIA

Greenval, NY

December 14, 2009 - June 27, 2013

PRIME CAPITAL SERVICES, INC.·CRD# 18334

BD

Greenvale, NY

December 14, 2009 - June 27, 2013

CHASE INVESTMENT SERVICES CORP.·CRD# 25574

RIA

Roslyn Heights, NY

March 31, 1999 - November 20, 2009

CHASE INVESTMENT SERVICES CORP.·CRD# 25574

BD

Roslyn Heights, NY

August 21, 1996 - November 20, 2009

FISERV INVESTOR SERVICES, INC.·CRD# 34637

BD

Houston, TX

February 1, 1995 - August 21, 1996

CAPITAL BROKERAGE CORPORATION·CRD# 10465

BD

Glen Allen, VA

February 22, 1991 - February 1, 1995

HASAN GROWNEY CO. INC.·CRD# 17137

BD

January 15, 1990 - April 2, 1991

J F LOWE & COMPANY INCORPORATED·CRD# 11830

BD

December 8, 1988 - January 17, 1990

GREENTREE SECURITIES CORP.·CRD# 7372

BD

January 4, 1988 - December 13, 1988

BROOKS WEINGER ROBBINS & LEEDS INC.·CRD# 14156

BD

December 18, 1984 - February 3, 1988

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Current Firm

LF

LEBENTHAL FINANCIAL SERVICES, INC.

BRISTOL FINANCIAL SERVICES, INC | LEBENTHAL FINANCIAL SERVICES, INC.

CRD#: 137988 / SEC#: 8-67140

BD

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Contact Information

Main Address

500 N. Broadway Suite 238, Jericho, NY 11753

Mailing Address

500 N. Broadway Suite 238, Jericho, NY 11753

Phone Number

(516) 349-5555

Established

New York since 07/13/2005

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (40 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HARTZMAN, MICHAEL AVERY	PRESIDENT, EXECUTIVE REP., CHIEF COMPLIANCE OFFICER OF INVESTMENT ADVISORY, MUNICIPAL PRINCIPAL, OPTIONS PRINCIPAL	2216133
TAVELLA, DOMINICK	OWNER	1069864
MASON, RANDI PATRICE	CHIEF COMPLIANCE OFFICER	722302
SAKOL, DANIEL SCOTT	FINOP	2813237

Disclosures

Regulatory Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

CO TRUSTEE TOM AND ANN DOHERTY TRUST POSITION: Co Trustee with four siblings managing mother's assets which include bank and brokerage accounts. NATURE: Fiduciary Appointment (e.g., Trustee, Executor, POA) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 01/01/2010 ADDRESS: 214 07 214th Place, Bayside NY 11361, United States DESCRIPTION: Co Trustee with four siblings managing mothers assets which include bank and brokerage accounts. MBM FINANCIAL SERVICES LTD POSITION: Financial Professional NATURE: Insurance and Investments INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 11/16/2020 ADDRESS: 2 Fox Boulevard, Massapequa NY 11758, United States DESCRIPTION: Sales and Service of Insurance and Investments

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

New Jersey
(5/27/2025)

RR

New York
(5/5/2025)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 2005About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1986About the Series 63 exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1984About the Series 7 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Jan 2023About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Nov 2012About the Series 9 exam

Series 53 — Municipal Securities Principal Examination

Passed Jun 2003About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Oct 1997About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Michael Blaise Doherty's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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MD

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