William Doughty
William Doughty is a registered investment advisor at LPL Financial LLC, based in Birmingham, AL, with 11 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
3168 Cahaba Heights Road, Birmingham, AL, 35243
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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
William operates under the DBAs Doughty Financial Group and Grandview Financial Group for his LPL Financial business, dedicating full-time hours to the former and about a quarter of his time to the latter. He also has a non-variable insurance business, William Doughty Jr., where he has a 5% ownership stake.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
State Registrations12 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.