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Michael Doherty

Oppenheimer & CO. INC.
49 Years of Experience
Melville, NY
2 DisclosuresBroker
View SEC Summary
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Michael Doherty is a registered investment advisor at Oppenheimer & CO. INC., based in Melville, NY, with 49 years of industry experience. Michael is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1159 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

401 Broadhollow Rd, Suite 401, Melville, NY, 11747

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2004
Award / Judgment
Customer Dispute
April 2002
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
April 2021 - Present · 5 yrs 6 mos
Oppenheimer & CO. INC.
November 2005 - Present · 20 yrs 11 mos
Oppenheimer & CO. INC.Broker
November 2005 - Present · 20 yrs 11 mos
Previous Registrations
Advest, INC.Broker
August 1980 - December 2005 · 25 yrs 4 mos
Bache Halsey Stuart Shields IncorporatedBroker
November 1978 - September 1980 · 1 yr 10 mos
John F. Houlahan & CO., INC.Broker
December 1976 - February 1979 · 2 yrs 2 mos
State Registrations10 states
AZCTFLMAMDNJNYPAPRVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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