Michael S. 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 Shaun Doherty, who also goes by Michael S Doherty, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1980. Michael had worked at 16 firms and has passed the Series 63, Series 7, Series 3, Series 5, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2006 - November 2, 2006
BEDROCK SECURITIES, LLC
February 11, 2000 - October 13, 2009
DOHERTY & COMPANY, LLC
January 20, 2000 - April 19, 2002
ACCESS SECURITIES, LLC
February 16, 1999 - October 26, 1999
AUGMENT SECURITIES INC.
October 29, 1996 - February 26, 1999
ROTH CAPITAL PARTNERS, LLC
June 17, 1993 - October 25, 1996
NATIXIS SECURITIES AMERICAS LLC
July 1, 1992 - May 27, 1993
NOMURA SECURITIES INTERNATIONAL, INC.
July 22, 1991 - June 30, 1992
METROPOLITAN LIFE INSURANCE COMPANY
July 22, 1991 - June 30, 1992
MSI FINANCIAL SERVICES, INC.
January 9, 1990 - July 23, 1990
GRUNTAL & CO., L.L.C.
November 14, 1989 - January 6, 1990
DICKINSON & CO.
January 15, 1987 - April 6, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
May 15, 1985 - May 17, 1986
WILLIAM K. WOODRUFF & COMPANY INCORPORATED
June 24, 1982 - February 7, 1985
NATIXIS SECURITIES AMERICAS LLC
March 24, 1981 - February 18, 1982
RAUSCHER PIERCE REFSNES, INC.
November 20, 1980 - March 2, 1981
NORTHEAST SECURITIES CORP.
October 23, 1980 - December 7, 1980
ROONEY, PACE 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
Series 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 28
Date: 1/7/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
BEDROCK SECURITIES, LLC
CRD#: 133253 / SEC#: , 8-66702
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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