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Matthew Thomas Doherty

LPl Financial LLC

Charlotte, NC

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-03-01
TX RA APPROVED 2023-03-01
  • NC RA
    APPROVED
    Since 2023-03-01
  • TX RA
    APPROVED
    Since 2023-03-01

Branch Locations

6101 Carnegie Blvd. Suite 520, Charlotte, NC 28209 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Charlotte NC 08/2010 01/2023
Lpl Financial Charlotte NC 01/2023 Present
Previous Registrations
Other Businesses

1) 03/01/2023 - Carnegie Private Wealth - DBA for LPL Business (entity for LPL business) - inv related - at reported business location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-06-08
  • S66 Uniform Combined State Law Examination
    2022-06-08
Other Names
  • Matthew Doherty

View on SEC IAPD

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FIRST TRYON ADVISORS · CHARLOTTE, NC
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