Meghan K. Doherty
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.
Meghan Kathleen Doherty, CFP® was a registered financial professional .
Meghan is a previously registered financial professional and started their career in finance in 2000. Meghan had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2025 - April 27, 2026
MAI CAPITAL MANAGEMENT, LLC
June 17, 2021 - February 20, 2025
NATIONWIDE SECURITIES, LLC
June 17, 2021 - February 20, 2025
NATIONWIDE SECURITIES, LLC
November 2, 2012 - May 20, 2021
MISSIONSQUARE RETIREMENT
July 31, 2012 - May 20, 2021
MISSIONSQUARE WEALTH MANAGEMENT
February 28, 2011 - July 19, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
October 5, 2009 - July 14, 2010
EQUITABLE ADVISORS, LLC
October 5, 2009 - July 14, 2010
EQUITABLE ADVISORS, LLC
August 12, 2009 - September 22, 2009
VOYA FINANCIAL PARTNERS, LLC
July 9, 2009 - September 22, 2009
VOYA FINANCIAL PARTNERS, LLC
February 17, 2009 - June 9, 2009
EMPOWER FINANCIAL SERVICES, INC.
February 20, 2003 - February 19, 2009
VOYA FINANCIAL PARTNERS, LLC
April 7, 2000 - February 3, 2003
EMPOWER FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MAI CAPITAL MANAGEMENT, LLC
CRD#: 109807 / SEC#: 801-58104
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MAI CAPITAL MANAGEMENT, LLC
CRD#: 109807 / SEC#: 801-58104
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 40,758 |
| AUM (Assets Under Management) | $ 29,630,499,856 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/20/2026 | ||
| 11/25/2024 | ||
| 01/28/2024 |
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.
