Michael J. Dougherty

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CRD#: 2384191

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael John Dougherty was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 9 firms and has passed the Series 63, Series 65, Series 7, Series 6, Series 3, Series 26, Series 27, Series 53, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 17, 2009 - October 2, 2012

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

EAST STROUDSBURG, PA

Past

March 20, 2009 - October 2, 2012

MML INVESTORS SERVICES, LLC

CRD#: 10409

EAST STROUDSBURG, PA

Past

September 21, 2007 - February 20, 2009

NYLIFE SECURITIES LLC

CRD#: 5167

SCRANTON, PA

Past

June 6, 2007 - July 26, 2007

HBW SECURITIES LLC

CRD#: 136959

EAST STROUDSBURG, PA

Past

July 6, 1998 - December 4, 1998

THE THORNWATER COMPANY, L.P.

CRD#: 36195

NEW YORK, NY

Past

November 17, 1997 - January 23, 1998

MILLENNIUM SECURITIES CORP.

CRD#: 31695

NEW YORK, NY

Past

May 20, 1997 - November 25, 1997

SPENCER CLARKE LLC

CRD#: 41316

MIAMI BEACH, FL

Past

January 11, 1996 - August 13, 1996

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Past

February 17, 1995 - January 17, 1996

FIRST NATIONAL EQUITY, CORP.

CRD#: 36094

PT. PLEASANT BEACH, NJ

Past

September 3, 1993 - January 21, 1995

MONTANO SECURITIES CORPORATION

CRD#: 7887

ORANGE, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MML INVESTORS SERVICES, LLC

CRD#: 10409 / SEC#: 801-44264, 8-27250

RIA

Registered Investment Advisory firm - SEC (7/13/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/4/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/30/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 10/18/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/5/2007

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 10/1/1998

National Commodity Futures Examination

Principal/Supervisory Exam

Series 26

Date: 6/6/2007

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 27

Date: 11/15/1995

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/3/1995

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/31/1995

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/1/1994

Registered Options Principal Examination

Current Firm

MML INVESTORS SERVICES, LLC

CRD#: 10409 / SEC#: 801-44264, 8-27250

RIA

Registered Investment Advisory firm - SEC (7/13/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

1295 State Street, Springfield, MA 01111-0001

Mailing Address

1295 State Street, Springfield, MA 01111-0001

Phone number

(413) 737-8400

Established

Massachusetts since 01/01/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

7,056

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV (THIRD PARTY PROGRAMS) (11/13/2025)

FORM ADV PART 2A FOR MML PLAN SOLUTIONS (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - ADVISOR SELECT (10/6/2025)

PART 2A BROCHURE MASSMUTUAL PLAN FIDUCIARY SERVICES PROGRAM (10/6/2025)

PORTFOLIO SOLUTIONS PROGRAMS WRAP FEE BROCHURE (10/6/2025)

PART 2 A APPENDIX 1 OF FORM ADV - SMA SELECT (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - STRATEGIST SELECT AND STRATEGIST SELECT MF ONLY (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - UMA SELECT PREMIER AND UMA SELECT PREMIER MF ONLY (10/6/2025)

VALIANCE INVESTMENT PROGRAMS (10/6/2025)

WMS ORION DISCLOSURE BROCHURE (10/6/2025)

WMS ADVISORY ANNUITIES DISCLOSURE BROCHURE (7/1/2025)

PART 2A OF FORM ADV (BAYSTATE AND NEWSQUARE) (7/1/2025)

FINANCIAL PLANNING SERVICES ADV BROCHURE (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
MASSMUTUAL HOLDING LLC	MEMBER
BAUER, THOMAS K	CHIEF TECHNOLOGY OFFICER	4759472
BOWMAN, VAUGHN CHARLES	CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD	4725044
CRADDOCK, GEOFFREY	DIRECTOR	1444771
DUCH III, EDWARD KARL	CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT	4808341
LAPIANA, PAUL ANTHONY	DIRECTOR	2237245
MALLEE, JOSEPH PATRICK III	DIRECTOR	4231618
MINK, DAVID MYERS	VICE PRESIDENT AND CHIEF OPERATIONS OFFICER	2606831
RANDALL, GEORGE ASHLEY IV	FIELD RISK OFFICER	4881503
REILLY, JENNIFER RHODES	DIRECTOR	3243154
RISPOLI, FRANK JOSEPH	CHIEF FINANCIAL OFFICER AND TREASURER	4364402
ROGERS REID, COURTNEY MCKENZIE	CHIEF COMPLIANCE OFFICER	5374512
VACCARO, JOHN ARTHUR	CHAIRMAN EMERITUS	2264004
WILKINSON, MARY BEA	VICE PRESIDENT	2159909

Regulatory assets under management

Total Number of Accounts	392,820
AUM (Assets Under Management)	$ 90,021,969,258

Disclosures

Regulatory Event	27
Arbitration	1
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/24/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
12/19/2022	Cover Page	Report

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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Firm Stability Insights

Michael J. Dougherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

NYLIFE SECURITIES LLC

HBW SECURITIES LLC

THE THORNWATER COMPANY, L.P.

MILLENNIUM SECURITIES CORP.

SPENCER CLARKE LLC

FIRST ASSET MANAGEMENT, INC.

FIRST NATIONAL EQUITY, CORP.

MONTANO SECURITIES CORPORATION

Primary Firm SEC Registration

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/4/2007

Series 65

Date: 12/30/1996

Series 7

Date: 10/18/2007

Series 6

Date: 6/5/2007

Series 3

Date: 10/1/1998

Series 26

Date: 6/6/2007

Series 27

Date: 11/15/1995

Series 53

Date: 10/3/1995

Series 24

Date: 8/31/1995

Series 4

Date: 3/1/1994

Current Firm

MML INVESTORS SERVICES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MML INVESTORS SERVICES, LLC

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