Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael James Doherty is a financial advisor with UBS Securities LLC. Michael is a registered representative in 52 states and the District of Columbia. Michael has been in the securities industry since May 26, 2013. Michael is a Series 79 and Series 63 licensed advisor and has been with UBS Securities since July 16, 2021. Prior to UBS Securities, Michael was employed at Morgan Stanley & Co. LLC, Barclays Capital Inc., and Keefe, Bruyette & Woods, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
07/16/2021 - Present
UBS Securities LLC (New York NY)
NY
10/13/2017 - 07/13/2021
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
09/17/2015 - 06/23/2017
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
07/19/2013 - 08/21/2015
KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)
CA
12/19/2012 - 06/28/2013
RUTBERG & COMPANY, LLC (SAN FRANCISCO CA)
BC
Issued 03/12/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2012
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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