Michael DohertyCRD Number: 1325333
Current Firm: Hsbc Securities (usa) Inc.
Michael Doherty (CRD# 1325333) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Flushing, NY and has over 31 years of experience in the finance industry.
Legacy Care Wealth, LLC
Altium Wealth Management LLC
Cfs Investment Advisory Services LLC
|Hsbc Bank Usa, N.a.||New York, NY||Aug 2016 - Current||1|
|Abel||Greenvale, NY||Jan 2012 - Current||6|
|Hsbc Securities (usa) Inc.||New York, NY||Jun 2013 - Jul 2016||3|
|Prime Capital Services, Inc.||Greenvale, NY||Dec 2009 - Jun 2013||3|
|Gilman Ciocia, Inc.||Greenvale, NY||Dec 2009 - Jun 2013||3|
|Asset & Financial Planning||Greenvale, NY||Dec 2009 - Jun 2013||3|
|Chase Investment Services Corp.||New York, NY||Aug 1996 - Nov 2009||13|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1986|
|S65||NASAA Investment Advisors Law Examination||Sep 2005|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Regulatory Event
Total Assets Under Management2,974MILLIONS
Total Number of Accounts12,328ACCOUNTS
Average Account Value$241,245
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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