Michael J. 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.
Michael James Doherty JR, who also goes by Michael J Doherty Jr, Michael James Dorerty Jr, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1969. Michael had worked at 12 firms and has passed the Series 63, PC, Series 000, Series 1, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 1992 - February 16, 1993
FINANCIAL WEST GROUP
February 28, 1991 - February 10, 1992
GLOBAL STRATEGIES GROUP, INC.
September 4, 1990 - January 21, 1991
WELLS FARGO CLEARING SERVICES, LLC
August 25, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 31, 1980 - March 20, 1986
UBS FINANCIAL SERVICES INC.
January 11, 1979 - August 29, 1989
J.P. MORGAN SECURITIES LLC
August 31, 1977 - February 15, 1979
SHUMAN, AGNEW & CO., INC.
February 16, 1977 - August 16, 1977
SHUMAN, AGNEW & CO., INC.
August 27, 1973 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
May 23, 1973 - November 15, 1973
MITCHUM, JONES & TEMPLETON INCORPORATED
May 15, 1972 - June 10, 1973
MCDONALD & MILLER SECURITIES INC
November 4, 1969 - June 6, 1972
EDELSTEIN CAMPBELL & CO., INC.
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
PC
Date: 8/30/1977
AMEX Put and Call ExamSeries 000
Date: 5/28/1970
General Securities Principal ExaminationSeries 1
Date: 10/30/1969
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
