John M. Doherty

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CRD#: 69418

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.

John Michael Doherty was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1972. John had worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 15, PC, Series 1, Series 9, Series 10 and Series 8 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.

(1) Name of Business: Address: 4515 Chantilly Way , Milton, FL, 32583, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 01/01/2000 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: collect rents do bookkeeping and taxes keep property in repair. (2) Name of Business: Address: 4515 Chantilly Way, Milton , FL, 32583, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 05/27/2018 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Bookkeeping , minor maintenance, work with VRBO and Airbnb to rent out. (3) Name of Business: Majella House Inc. Address: 4515 Chantilly Way, Milton, FL, 32583, United States Activity Type: Non profit Position/Title: Officer - Treasurer, Board Member Investment Related: No Start Date: 11/19/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: participate on board, deposit donation , write thank you letters, reimburse board members for expenses. (4) Name of Business: Meridiem Advisory Group LLC formerly Gateway Partners LLC Address: 236 W Garden St Ste 4, Pensacola, FL, 32502-5757, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 03/23/2023 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor

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

April 13, 2021 - December 24, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Pensacola, FL

Past

April 8, 2021 - December 24, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Pensacola, FL

Past

October 24, 2005 - April 13, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PENSACOLA, FL

Past

October 21, 2005 - April 13, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PENSACOLA, FL

Past

April 28, 2000 - October 25, 2005

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

PENSACOLA, FL

Past

April 28, 2000 - October 25, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

August 25, 1989 - May 4, 2000

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

January 26, 1987 - September 23, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 20, 1982 - February 2, 1987

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

Past

February 24, 1978 - November 8, 1982

MORGAN STANLEY DW INC.

CRD#: 7556

Past

April 11, 1975 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

Past

November 28, 1972 - May 1, 1975

R. ROWLAND & CO., INCORPORATED

CRD#: 911

Past

September 15, 1972 - December 16, 1972

JIM BECHERER & CO.

CRD#: 6043

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".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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

IAR

Series 66

Date: 9/4/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/8/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 10/24/1983

Foreign Currency Options Examination

General Industry/Product Exam

PC

Date: 10/11/1982

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 9/9/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 3/14/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	1,030,208
AUM (Assets Under Management)	$ 344,868,106,925

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

John M. Doherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

A. G. EDWARDS & SONS, INC.

LEHMAN BROTHERS INC.

THE ROBINSON-HUMPHREY COMPANY, LLC

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

R. ROWLAND & CO., INCORPORATED

JIM BECHERER & CO.

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/4/2007

Series 63

Date: 12/8/1979

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 15

Date: 10/24/1983

PC

Date: 10/11/1982

Series 1

Date: 9/9/1972

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 3/14/1994

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

Contact information

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