Francis Dougherty
Francis Dougherty is a registered investment advisor at LPL Enterprise, LLC, based in Holmdel, NJ, with 18 years of industry experience. Francis operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
101 Crawfords Corner Rd Ste, 2409, Holmdel, NJ, 07733
Get directionsHistory
Regulatory History (2)
Customer Dispute
February 2026Customer Dispute
November 2020Other Business Activities
Francis is the president of The R&D Agency and Dougherty Financial Group, both in the finance and insurance sector. These businesses are currently dormant and require minimal time commitment.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Pruco Securities, LLC.Broker
Prudential Financial Planning Services
Bcg Securities, INC.Broker
Bcg Securities, INC.
Voya Financial Advisors, INC.
Voya Financial Advisors, INC.Broker
Good Life Advisors, LLC
LPL Financial LLCBroker
Voya Financial Advisors, INC.
Voya Financial Advisors, INC.Broker
Edward JonesBroker
State Registrations11 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.