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David Doherty
28 Years of Experience
Houston, TX
6 DisclosuresBroker
David Doherty is a registered investment advisor at Raymond James & Associates, INC., based in Houston, TX, with 28 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
5847 San Felipe Street, Ste 3900, Houston, TX, 77057
Get directionsHistory
Regulatory History (6)
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Judgment / Lien
July 2012Judgment / Lien
August 2010Judgment / Lien
April 2009Judgment / Lien
July 2007Judgment / Lien
September 2006Customer Dispute
April 2006Denied
Other Business Activities
David is a committee member for a non-profit organization, starting in 2018. He dedicates minimal time to this investment-related activity.
Employment History
Current Registrations
Raymond James & Associates, INC.
April 1997 - Present · 29 yrs 1 mo
Raymond James & Associates, INC.Broker
April 1997 - Present · 29 yrs 1 mo
State Registrations14 states
CACODCFLMDMIMONCNYOKSCTXVAWY
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.