Margaret A. Doherty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Margaret Ann Doherty, who also goes by Margaret Doherty, Maggie Doherty, Margaret Ann Santopietro, Margaret Santopietro, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1994. Margaret had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 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.
April 4, 2014 - August 27, 2026
FRANKLIN DISTRIBUTORS, LLC
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
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Visual representation of state registrations
Exams
What does exam status mean?
Series 99TO
Passed: 1/2/2023
Operations Professional ExaminationCurrent Firm
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
CRD#: 7325 / SEC#: , 8-1369
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
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