Michael B. Doherty

LEBENTHAL FINANCIAL SERVICES

Jericho, NY 11753

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CRD#: 1325333

Professional summary

Michael Blaise Doherty, who also goes by Michael B Doherty, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael B Doherty

Other business activities

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

Blog Corner

CRS (Client Relationship Summary) - BD

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

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 5, 2025 - Present

LEBENTHAL FINANCIAL SERVICES, INC.

Office #1: 500 N. Broadway Suite 238, Jericho, NY 11753

CRD#: 137988

Jericho, NY

Past

November 14, 2024 - May 9, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

MASSAPEQUA, NY

Past

November 14, 2024 - May 9, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

MASSAPEQUA, NY

Past

April 19, 2021 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Massapequa, NY

Past

December 4, 2020 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Massapequa, NY

Past

August 7, 2013 - February 5, 2020

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

FLUSHING, NY

Past

June 26, 2013 - February 5, 2020

HSBC SECURITIES (USA) INC.

CRD#: 19585

FLUSHING, NY

Past

December 14, 2009 - June 27, 2013

ASSET & FINANCIAL PLANNING, LTD

RIA

CRD#: 110709

GREENVAL, NY

Past

December 14, 2009 - June 27, 2013

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

GREENVALE, NY

Past

March 31, 1999 - November 20, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

ROSLYN HEIGHTS, NY

Past

August 21, 1996 - November 20, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

ROSLYN HEIGHTS, NY

Past

February 1, 1995 - August 21, 1996

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

February 22, 1991 - February 1, 1995

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

January 15, 1990 - April 2, 1991

HASAN GROWNEY CO. INC.

CRD#: 17137

Past

December 8, 1988 - January 17, 1990

J F LOWE & COMPANY INCORPORATED

CRD#: 11830

Past

January 4, 1988 - December 13, 1988

GREENTREE SECURITIES CORP.

CRD#: 7372

Past

December 18, 1984 - February 3, 1988

BROOKS WEINGER ROBBINS & LEEDS INC.

CRD#: 14156

State Registrations and Notice Filings

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

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

Visual representation of state registrations

New Jersey
(5/27/2025)

New York
(5/5/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/30/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/24/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/30/2012

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 53

Date: 6/30/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/24/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LEBENTHAL FINANCIAL SERVICES, INC.

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

CRD#: 137988 / SEC#: , 8-67140

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

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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

# of Employees

FINRA licenses (39 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

Red Flags

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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Advisor Monitoring

Firm Stability Insights

Michael B. Doherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

ASSET & FINANCIAL PLANNING, LTD

PRIME CAPITAL SERVICES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

FISERV INVESTOR SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

HASAN GROWNEY CO. INC.

J F LOWE & COMPANY INCORPORATED

GREENTREE SECURITIES CORP.

BROOKS WEINGER ROBBINS & LEEDS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/30/2005

Series 63

Date: 9/24/1986

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/15/1984

Series 10

Date: 1/2/2023

Series 9

Date: 11/30/2012

Series 53

Date: 6/30/2003

Series 24

Date: 10/24/1997

FINRA

Current Firm

LEBENTHAL FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (39 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LEBENTHAL FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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