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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-10-13 |
| CT | RA | APPROVED | 2023-10-12 |
Branch Locations
860 Norwich New London Tpke, Uncasville, CT 06382 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ct National Guard | Middletown | CT | 11/2013 | 02/2021 |
| Doherty Financial Services Llc | Uncasville | CT | 08/2019 | Present |
| The Ups Store | Clinton | CT | 06/2016 | 08/2019 |
| Commonwealth Financial Network | Waltham | MA | 01/2021 | 10/2023 |
| Lpl Financial Llc | Uncasville | CT | 10/2023 | Present |
1) 08/14/2023 - Doherty Financial Services. LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 180 Hours per month. 2) 08/14/2023 - Notary - CT 06382 - Investment related - Start date: 12/14/2020. 3) 08/14/2023 - Doherty Financial Services, LLC - Non-Variable Insurance - Selling: Term, UL, Whole Life, Fixed Annuities, FIA, LTC, Merit Insurance Services - CT 06382 - Investment related - 20 Hours per month - Start date: 06/23/2020.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-02-24 |
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