Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MICHAEL JAMES DOHERTY
CRD#: 1240526
IA
Investment Adviser
B
Broker
BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDCRD#: 146936 125 HALF MILE ROAD, SUITE 104
RED BANK, NJ 07701
Registration History
1985199019952000200520102015202020252 FIRMS2008 - 2011 (3 years)2 FIRMS2011 - Present (13 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1990 - 2008 (18 years)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1988 - 1990 (1 year)BE. F. HUTTON & COMPANY INC (CRD# 235)1985 - 1988 (3 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1984 - 1985 (<1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2005 - 2008 (2 years)
Disclosure(s)
View By:
3/28/2001
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 8/27/2024
B
New Jersey 8/5/2011
B
California 8/5/2011
IA
New Jersey 8/5/2011
B
Colorado 8/5/2011
B
New York 8/5/2011
B
Connecticut 7/11/2023
B
North Carolina 8/5/2011
B
Delaware 8/5/2011
B
Ohio 1/6/2015
B
District of Columbia 11/4/2020
B
Pennsylvania 8/5/2011
B
Florida 8/15/2011
B
South Carolina 8/8/2011
B
Georgia 9/1/2021
B
Texas 8/5/2011
B
Illinois 8/31/2011
B
Virginia 8/5/2011
B
Maine 8/5/2011
B
Wisconsin 6/22/2020
B
Maryland 8/5/2011
B
Wyoming 4/19/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED (CRD#:146936)
125 HALF MILE ROAD, SUITE 104, RED BANK, NJ 07701
Registered with this firm since 8/5/2011
B
BENJAMIN F. EDWARDS & COMPANY, INC. (CRD#:146936)
125 HALF MILE ROAD, SUITE 104, RED BANK, NJ 07701
Registered with this firm since 8/5/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/01/2008 - 08/08/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) EAST BRUNSWICK, NJ
B
 01/01/2008 - 08/08/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) EAST BRUNSWICK, NJ
B
 01/12/1990 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) EAST BRUNSWICK, NJ
IA
 06/22/2005 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) EAST BRUNSWICK, NJ
B
 05/14/1988 - 02/06/1990 SHEARSON LEHMAN HUTTON INC. (CRD#:7506) NEW YORK, NY
B
 01/25/1985 - 05/14/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
 02/24/1984 - 01/25/1985 DEAN WITTER REYNOLDS INC. (CRD#:7556)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.