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Perry Dougherty

LPL Financial LLC
34 Years of Experience
Baton Rouge, LA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Perry Dougherty is a registered investment advisor at LPL Financial LLC, based in Baton Rouge, LA, with 34 years of industry experience. Perry 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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

Location

4611 Bluebonnet Blvd, Ste A, Baton Rouge, LA, 70809

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History

Regulatory History (1)
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
April 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Perry is involved in non-variable insurance sales since 2005 and sells insurance through LDF Insurance Agency, LLC, dedicating minimal time to this activity. Perry also owns an office condo for real estate rental, spending minimal time on it, and operates under DBAs for his LPL business, spending nearly full-time on these activities.

Employment History
Current Registrations
LPL Financial LLC
February 2004 - Present · 22 yrs 8 mos
LPL Financial LLCBroker
September 2003 - Present · 23 yrs 1 mo
Previous Registrations
Edward JonesBroker
August 1992 - September 2003 · 11 yrs 1 mo
State Registrations22 states
ALARCACOFLGAILKYLAMAMDMOMSNCNMNYOHSCTNTXUTVA
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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