Michael Doherty
Michael Doherty is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Uncasville, CT, with 41 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
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.