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Richard Andrew Dougherty

LPl Financial LLC

Newport Beach, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-11-05
  • CA RA
    APPROVED
    Since 2025-11-05

Branch Locations

610 Newport Center Dr Ste 1520, Newport Beach, CA 92660 • 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
Td Ameritrade Laguna Hills CA 10/2003 01/2021
Oppenheimer & Co. Inc. Newport Beach CA 06/2021 08/2021
Unemployed Dana Point CA 01/2021 06/2021
Lpl Financial Llc Newport Beach CA 08/2021 Present
  • 10/2003 → 01/2021
    Td Ameritrade
    Laguna Hills, CA
  • 06/2021 → 08/2021
    Oppenheimer & Co. Inc.
    Newport Beach, CA
  • 01/2021 → 06/2021
    Unemployed
    Dana Point, CA
  • 08/2021 → Present
    Lpl Financial Llc
    Newport Beach, CA
Previous Registrations
  • 2021-06-02 → 2021-08-13
    Oppenheimer & Co. Inc.
    Newport Beach, CA
  • 2003-11-17 → 2021-01-11
    Td Ameritrade, Inc.
    Laguna Hills, CA
    Mission Viejo, CA
  • 2006-04-24 → 2020-12-31
    Td Ameritrade Investment Management, Llc
    Laguna Hills, CA
    Mission Viejo, CA
  • 2000-09-14 → 2003-11-06
    Wells Fargo Advisors Financial Network, Llc
    Laguna Niguel, CA
Other Businesses

1)12/2021- Tower 68 Financial Advisors- DBA for LPL Business (entity for LPL business)- inv. related- Newport Beach, CA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-07-07
S63 Uniform Securities Agent State Law Examination 1995-06-09
  • S65 Uniform Investment Adviser Law Examination
    1995-07-07
  • S63 Uniform Securities Agent State Law Examination
    1995-06-09
Other Names
  • Richard Anderew Dougherty
  • Richard Andrew Oswal

View on SEC IAPD

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Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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