MD
Michael P. Doherty
PERSHING LLC
New York, NY 10286
Some features on this profile are disabled
CRD#: 1806419
MD
Professional summary
Michael P Doherty, who also goes by Michael Philip Doherty, is a registered financial professional currently at PERSHING LLC located in New York, New York and BNY MELLON CAPITAL MARKETS, LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 12 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Philip 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Michael P Doherty's 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®
NoneExperience
Current
April 25, 2022 - Present
PERSHING LLC
Office #1: 240 Greenwich Street, New York, NY 10286BD
CRD#: 7560
New York, NY
Current
April 30, 2024 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 240 Greenwich Street, New York, NY 10286BD
CRD#: 17454
New York, NY
Past
June 24, 2019 - April 7, 2022
AMERICAN VETERANS GROUP, PBC
BD
CRD#: 291933
MELVILLE, NY
Past
March 22, 2016 - May 8, 2019
SAMUEL A. RAMIREZ & COMPANY, INC.
BD
CRD#: 6963
NEW YORK, NY
Past
January 2, 2015 - June 16, 2015
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
March 13, 2014 - January 2, 2015
NEWEDGE USA, LLC
BD
CRD#: 36118
NEW YORK, NY
Past
April 1, 2013 - November 19, 2013
FIRST EMPIRE SECURITIES, INC.
BD
CRD#: 15129
HAUPPAUGE, NY
Past
March 30, 2012 - April 5, 2013
BNY MELLON CAPITAL MARKETS, LLC
BD
CRD#: 17454
NEW YORK, NY
Past
September 9, 2005 - April 5, 2013
PERSHING LLC
BD
CRD#: 7560
NEW YORK, NY
Past
May 1, 2003 - September 9, 2005
PERSHING ADVISOR SOLUTIONS LLC
BD
CRD#: 36671
JERSEY CITY, NJ
Past
July 31, 1995 - May 1, 2003
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
January 28, 1995 - June 15, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 21, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
May 6, 1992 - June 15, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 19, 1988 - October 1, 1991
CLAYTON BROWN & ASSOCIATES, INC.
BD
CRD#: 3664
CHICAGO, IL
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/27/2022)
RR
Alaska(4/28/2022)
RR
Arizona(5/4/2022)
RR
Arkansas(4/25/2022)
RR
California(4/26/2022)
RR
Colorado(4/27/2022)
RR
Connecticut(4/26/2022)
RR
Delaware(5/3/2022)
RR
District of Columbia(5/5/2022)
RR
Florida(4/26/2022)
RR
Georgia(4/26/2022)
RR
Hawaii(4/26/2022)
RR
Idaho(4/25/2022)
RR
Illinois(4/27/2022)
RR
Indiana(5/5/2022)
RR
Iowa(5/2/2022)
RR
Kansas(4/27/2022)
RR
Kentucky(4/27/2022)
RR
Louisiana(4/27/2022)
RR
Maine(4/26/2022)
RR
Maryland(4/26/2022)
RR
Massachusetts(4/26/2022)
RR
Michigan(4/27/2022)
RR
Minnesota(4/27/2022)
RR
Mississippi(4/28/2022)
RR
Missouri(4/26/2022)
RR
Montana(4/26/2022)
RR
Nebraska(4/26/2022)
RR
Nevada(5/9/2022)
RR
New Hampshire(4/26/2022)
RR
New Jersey(4/27/2022)
RR
New Mexico(4/27/2022)
RR
New York(4/25/2022)
RR
North Carolina(4/27/2022)
RR
North Dakota(5/2/2022)
RR
Ohio(4/25/2022)
RR
Oklahoma(4/27/2022)
RR
Oregon(4/26/2022)
RR
Pennsylvania(4/26/2022)
RR
Puerto Rico(4/29/2022)
RR
Rhode Island(5/3/2022)
RR
South Carolina(5/2/2022)
RR
South Dakota(5/12/2022)
RR
Tennessee(4/27/2022)
RR
Texas(4/26/2022)
RR
Utah(4/26/2022)
RR
Vermont(4/27/2022)
RR
Virgin Islands(5/9/2022)
RR
Virginia(4/26/2022)
RR
Washington(4/27/2022)
RR
West Virginia(4/28/2022)
RR
Wisconsin(4/26/2022)
RR
Wyoming(4/26/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 8/4/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
BM
BNY MELLON CAPITAL MARKETS, LLC
BNY CAPITAL MARKETS | MELLON INVESTMENT PRODUCTS COMPANY | MELLON FINANCIAL SERVICES CORPORATION | MELLON FINANCIAL MARKETS, LLC | MELLON FINANCIAL MARKETS, INC. | BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
240 Greenwich Street, New York, NY 10286
Mailing Address
240 Greenwich Street 3rd Floor, New York, NY 10286
Phone number
(212) 815-4972
Established
Delaware since 12/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
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.
