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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-10-12 |
| TX | 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 |
|---|---|---|---|---|
| Doherty Financial Services, Llc | Uncasville | CT | 04/2001 | Present |
| Commonwealth Equity Services, Inc | Uncansville | CT | 01/2001 | 10/2023 |
| Lpl Financial Llc | Uncasville | CT | 10/2023 | Present |
1) 08/15/2023 - Doherty Financial Services, LLC - Non-Variable Insurance - Selling: Life Insurance, Fixed Annuity, Long Term Care - CT 06382 - Investment related - 5 Hours per month - Start date: 01/01/1997. 2) 08/15/2023 - Doherty Financial Services, LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-06 |
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