Michael Doherty
Michael Doherty is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Uncasville, CT, with 42 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 Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
860 Norwich New London Tpke, Uncasville, CT, 06382
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Michael sells life insurance, fixed annuities, and long-term care insurance through Doherty Financial Services, dedicating a few hours per week. He also uses Doherty Financial Services as a DBA for his LPL business, which takes nearly full-time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Doherty Financial Advisors, LLC
Commonwealth Financial Network
Commonwealth Financial NetworkBroker
New England SecuritiesBroker
Pw Securities, INC.Broker
First Investors CorporationBroker
State Registrations25 states
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.