Margaret A. Doherty
Professional summary
Margaret Ann Doherty, who also goes by Margaret Doherty, Maggie Doherty, Margaret Ann Santopietro, Margaret Santopietro, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.
Margaret is registered as a RR (Registered Representative) and started their career in finance in 1994. Margaret has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Margaret Ann Doherty's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2014 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078January 2, 2024 - July 3, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
August 1, 2020 - July 7, 2021
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
August 1, 2020 - July 7, 2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
February 15, 2000 - July 15, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 18, 1996 - December 22, 1999
UBS FINANCIAL SERVICES INC.
April 18, 1994 - September 15, 1995
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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