Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Doherty is a financial professional with over 39 years of experience in the financial services industry. Michael is registered with LPL Financial LLC and holds a variety of licenses and certifications, including Series 6, 7, 22, 24, 26, 63 and 65. Michael's past experience includes working at Commonwealth Financial Network, New England Securities, First Investors Corporation and PW Securities, Inc. Michael is a Chartered Financial Consultant. Michael's areas of expertise include financial planning, portfolio management for individuals and businesses, and pension consulting. Michael's office is located at 860 Norwich New London Tpke in Uncasville, CT.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
10/12/2023 - Present
LPL Financial LLC (UNCASVILLE CT)
CT
01/02/1997 - 10/12/2023
COMMONWEALTH FINANCIAL NETWORK (UNCASVILLE CT)
NY
08/11/1988 - 01/02/1997
NEW ENGLAND SECURITIES (NEW YORK NY)
NA
05/02/1984 - 07/19/1988
FIRST INVESTORS CORPORATION
NA
05/06/1985 - 05/23/1985
PW SECURITIES, INC.
IA
Issued 12/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/06/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/16/1999
Series 24 - General Securities Principal Examination
BC
Issued 09/28/1984
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/1998
Series 7 - General Securities Representative Examination
BC
Issued 08/08/1990
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 06/13/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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