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Kathleen Doherty

Charles Schwab & CO., Inc.

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About Kathleen Doherty

Kathleen Doherty is a financial professional with over 30 years of experience in the industry. Kathleen is currently registered with Charles Schwab & CO., Inc. and is located in Millburn, NJ. Prior to her current role, Kathleen worked at TD Ameritrade, Inc. and Charles Schwab & CO., Inc. in various locations.

Firm Information

Kathleen Doherty is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Kathleen Doherty’s Registration & Firm History

NJ

03/12/2004 - Present

Charles Schwab & CO., Inc. (Millburn NJ)

NE

01/11/2023 - 12/31/2023

TD AMERITRADE, INC. (OMAHA NE)

TX

03/16/1995 - 10/01/2003

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

CT

02/01/1996 - 12/10/1996

MAYER & SCHWEITZER, INC. (STAMFORD CT)

NY

04/13/1989 - 03/13/1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

04/19/1988 - 02/22/1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/15/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/26/2008

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/13/2007

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/28/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/15/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Kathleen Doherty.
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