Individual Firm
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MICHAEL EDWARD DOHERTY
CRD#: 500784
IA
B
OPPENHEIMER & CO. INC.CRD#: 249 401 BROADHOLLOW RD
SUITE 401
MELVILLE, NY 11747
SUITE 401
MELVILLE, NY 11747
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1/23/2004
Customer Dispute
Award / Judgment
4/25/2002
Customer Dispute
Denied
State Registrations
B
Arizona 3/21/2011
B
New Jersey 12/1/2005
B
Florida 12/16/2005
B
New York 11/29/2005
B
Maryland 9/16/2015
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New York 4/7/2021
B
Massachusetts 3/22/2010
B
Puerto Rico 11/28/2005
SRO Registrations
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/7/2021
B
Registered with this firm since 11/23/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/11/1980 - 12/15/2005 | HARTFORD, CT | |
B | 11/27/1978 - 09/08/1980 | ||
B | 12/14/1976 - 02/23/1979 |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.