Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Doherty has been a registered representative in the financial services industry since 1996. Karen is currently registered with Kestra Investment Services, LLC. Karen has held previous positions with NFP Securities, Inc., MONY Securities Corporation, W. S. Griffith & Co., Inc. and Guardian Investor Services Corporation. Karen holds the Series 6, Series 63, and SIE licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
MD
03/14/2003 - Present
Kestra Investment Services, LLC (Towson MD)
TX
04/10/2001 - 11/26/2002
NFP SECURITIES, INC. (AUSTIN TX)
TX
05/15/2000 - 12/06/2000
NFP SECURITIES, INC. (AUSTIN TX)
NY
04/24/1997 - 05/12/2000
MONY SECURITIES CORPORATION (NEW YORK NY)
CT
08/16/1996 - 02/28/1997
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
NY
06/03/1996 - 07/23/1996
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
NY
05/30/1995 - 03/15/1996
MONY SECURITIES CORP. (NEW YORK NY)
IA
Issued 10/25/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/28/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/26/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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