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Michael Patrick Doherty

THE O.n. Equity Sales Co.

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About Michael Patrick Doherty

Michael Patrick Doherty is a financial advisor with over 20 years of experience in the financial industry. He holds the Series 6, 7, 63 and 65 licenses and the SIE exam. Michael is currently registered with The O.n. Equity Sales Co. and has previously been associated with firms such as Park Avenue Securities LLC, Allstate Financial Services, LLC, MML Investors Services, Inc., Northwestern Mutual Investment Services, LLC, and Robert W. Baird & Co. Incorporated. Michael has been active in the industry since 2002 and is currently active in the state of California.

Firm Information

Michael Doherty is currently registered with THE O.n. Equity Sales Co.. THE O.n. Equity Sales Co. is a Corporation that was formed on August 22, 1968. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. They have a history of regulatory events and arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

171

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Michael Doherty’s Registration & Firm History

OH

12/23/2014 - Present

THE O.n. Equity Sales Co. (Cincinnati OH)

NY

08/17/2012 - 07/01/2013

PARK AVENUE SECURITIES LLC (NEW YORK NY)

CA

01/22/2009 - 08/17/2012

ALLSTATE FINANCIAL SERVICES, LLC (LAKEWOOD CA)

CA

06/21/2005 - 01/29/2009

MML INVESTORS SERVICES, INC. (LOS ALAMITOS CA)

WI

11/03/2000 - 06/14/2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

WI

11/03/2000 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

IA

Issued 10/18/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/25/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/18/2007

Series 7 - General Securities Representative Examination

BC

Issued 11/01/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Michael Patrick Doherty. Review regulatory record here.
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