Phillip Francis Doherty

Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2017-05-26
FL	RA	APPROVED	2017-03-25

TX RA
APPROVED_RES

Since 2017-05-26
FL RA
APPROVED

Since 2017-03-25

Branch Locations

Jupiter, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Metlife Securities Inc.	W. Palm Beach	FL	02/1995	03/2017
Massmutual Life Insurance Co	Jupiter	FL	07/2016	Present
Mml Investors Services, Llc	Jupiter	FL	03/2017	Present

02/1995 → 03/2017

Metlife Securities Inc.

W. Palm Beach, FL
07/2016 → Present

Massmutual Life Insurance Co

Jupiter, FL
03/2017 → Present

Mml Investors Services, Llc

Jupiter, FL

Previous Registrations

1995-07-07 → 2017-03-25

Msi Financial Services, Inc.

Stuart, FL

West Palm Beach, FL

W. Palm Beach, FL

Other Businesses

NAME: PHILLIP F DOHERTY INV REL: Y ADDR: 208 JUPITER WOODS, JUPITER, FL 33458 NATURE: OUTSIDE INSURANCE POSITION: AGENT START: 7/19/2022 NO/HRS: 3 NO/HRS DUR TRADING: 3 DESCRIBE DUTIES: SELL LIFE, FIXED ANNUITIES, & DISABILITY.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-05-28
S63	Uniform Securities Agent State Law Examination	2002-07-10

S65 Uniform Investment Adviser Law Examination

2010-05-28
S63 Uniform Securities Agent State Law Examination

2002-07-10

View on SEC IAPD