Michael P. Doherty

SUSQUEHANNA FINANCIAL GROUP, LLLP

Chicago, IL 60604

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CRD#: 703900

Professional summary

Michael Patrick Doherty, who also goes by Michael P Doherty, is a registered financial professional currently at SUSQUEHANNA FINANCIAL GROUP, LLLP located in Chicago, Illinois and GLOBAL EXECUTION BROKERS, LP located in Bala Cynwyd, Pennsylvania.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1980. Michael has worked at 10 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael P 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Patrick 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®

None

Experience

Current

May 12, 2003 - Present

SUSQUEHANNA FINANCIAL GROUP, LLLP

Office #1: 175 W. Jackson Blvd Suite 1700, Chicago, IL 60604

CRD#: 35865

Chicago, IL

Current

February 3, 2004 - Present

GLOBAL EXECUTION BROKERS, LP

Office #1: 401 City Avenue, Bala Cynwyd, PA 19004

CRD#: 126407

Bala Cynwyd, PA

Current

May 24, 2005 - Present

SUSQUEHANNA INVESTMENT GROUP

Office #1: 175 W. Jackson Blvd. Suite 1700, Chicago, IL 60604

CRD#: 33875

Chicago, IL

Current

March 9, 2007 - Present

SUSQUEHANNA SECURITIES, LLC

Office #1: 175 W Jackson Blvd. Suite 1700, Chicago, IL 60604

CRD#: 35874

Chicago, IL

Past

April 12, 1998 - May 2, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

July 29, 1994 - May 2, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 31, 1993 - August 8, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 23, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 24, 1989 - September 30, 1992

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

November 24, 1987 - June 12, 1989

SHATKIN FINANCIAL SERVICES, INC.

CRD#: 16883

Past

January 19, 1980 - July 25, 1984

PERSHING LLC

CRD#: 7560

State Registrations and Notice Filings

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

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

Illinois
(5/12/2003)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/29/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/9/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 4/26/1988

General Securities Principal Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX Emerald, LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

MIAX Sapphire

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq MRX, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

SUSQUEHANNA SECURITIES, LLC

SUSQUEHANNA SECURITIES | SUSQUEHANNA SECURITIES, LLC

CRD#: 35874 / SEC#: , 8-47034

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

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Contact information

Main Address

401 City Ave Ste 220, Bala Cynwyd, PA 19004-1122

Mailing Address

401 City Ave Ste 220, Bala Cynwyd, PA 19004-1122

Phone number

(610) 617-2600

Established

Delaware since 08/31/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SSUS HOLDINGS, LLC	MEMBER
DOHERTY, MICHAEL PATRICK	CHIEF COMPLIANCE OFFICER	703900
FERNANDEZ, ALEJANDRO	PRESIDENT	4552870
JAMACA, MELISSA	FINOP	7478107
SIMPSON, MICHAEL ROBERT	POO	7521292

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Michael P. Doherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Patrick Doherty's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL EXECUTION BROKERS, LP

SUSQUEHANNA INVESTMENT GROUP

SUSQUEHANNA SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

MESIROW FINANCIAL, INC.

SHATKIN FINANCIAL SERVICES, INC.

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/29/1992

Series 63

Date: 3/9/1988

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/19/1980

Series 14

Date: 1/2/2023

Series 24

Date: 4/26/1988

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

Long-Term Stock Exchange, Inc.

MEMX LLC

MIAX Emerald, LLC

MIAX PEARL, LLC

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq MRX, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

Current Firm

SUSQUEHANNA SECURITIES, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SUSQUEHANNA SECURITIES, LLC

TRUST BUT VERIFY

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