KD
Kelly Doherty
GOLDMAN SACHS CUSTODY SOLUTIONS
Chicago, IL 60606
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CRD#: 6675212
KD
Professional summary
Kelly Doherty, who also goes by Kelly M Doherty, is a registered financial professional currently at GOLDMAN SACHS CUSTODY SOLUTIONS located in Chicago, Illinois.
Kelly is registered as a RR (Registered Representative) and started their career in finance in 2016. Kelly has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kelly M Doherty
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kelly Doherty's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 6, 2021 - Present
GOLDMAN SACHS CUSTODY SOLUTIONS
Office #1: 71 South Wacker Drive Suite 1200, Chicago, IL 60606BD
CRD#: 48015
Chicago, IL
Past
August 24, 2016 - July 13, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
RYE BROOK, NY
Past
August 3, 2016 - July 13, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
RYE BROOK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/6/2021)
RR
Alaska(8/6/2021)
RR
Arizona(8/6/2021)
RR
Arkansas(8/6/2021)
RR
California(8/6/2021)
RR
Colorado(8/6/2021)
RR
Connecticut(8/6/2021)
RR
Delaware(8/6/2021)
RR
District of Columbia(8/6/2021)
RR
Florida(8/6/2021)
RR
Georgia(8/6/2021)
RR
Hawaii(8/6/2021)
RR
Idaho(8/6/2021)
RR
Illinois(8/6/2021)
RR
Indiana(8/6/2021)
RR
Iowa(8/6/2021)
RR
Kansas(8/6/2021)
RR
Kentucky(8/6/2021)
RR
Louisiana(8/6/2021)
RR
Maine(8/6/2021)
RR
Maryland(8/6/2021)
RR
Massachusetts(8/6/2021)
RR
Michigan(8/6/2021)
RR
Minnesota(8/6/2021)
RR
Mississippi(8/6/2021)
RR
Missouri(8/6/2021)
RR
Montana(8/6/2021)
RR
Nebraska(8/6/2021)
RR
Nevada(8/6/2021)
RR
New Hampshire(8/6/2021)
RR
New Jersey(8/6/2021)
RR
New Mexico(8/6/2021)
RR
New York(8/6/2021)
RR
North Carolina(8/6/2021)
RR
North Dakota(8/6/2021)
RR
Ohio(8/6/2021)
RR
Oklahoma(8/6/2021)
RR
Oregon(8/6/2021)
RR
Pennsylvania(8/6/2021)
RR
Puerto Rico(8/6/2021)
RR
Rhode Island(8/6/2021)
RR
South Carolina(8/6/2021)
RR
South Dakota(8/6/2021)
RR
Tennessee(8/6/2021)
RR
Texas(8/6/2021)
RR
Utah(8/6/2021)
RR
Vermont(8/6/2021)
RR
Virgin Islands(8/6/2021)
RR
Virginia(8/6/2021)
RR
Washington(8/6/2021)
RR
West Virginia(8/6/2021)
RR
Wisconsin(8/6/2021)
RR
Wyoming(8/6/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
GS
GOLDMAN SACHS CUSTODY SOLUTIONS
DIRECTINDEXER | VIA FOLIO | GOLDMAN SACHS CUSTODY SOLUTIONS | FOLIO[FN] INVESTMENTS, INC. | FOLIOTRADE BROKERAGE LLC | FOLIOFN INVESTMENTS, INC. | FOLIOFIRST | FOLIO RESEARCH, LLC | FOLIO RESEARCH | FOLIO INVESTMENTS, INC. | FOLIO INVESTING | FOLIO INSTITUTIONAL | FOLIO CLIENT
CRD#: 48015 / SEC#: , 8-52009
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
8180 Greensboro Dr 8th Floor, Mclean, VA 22102
Mailing Address
8180 Greensboro Dr 8th Floor, Mclean, VA 22102
Phone number
(703) 245-4000
Established
Virginia since 01/10/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLIO FINANCIAL, INC. (D/B/A GOLDMAN SACHS CS HOLDINGS) | 100 % SHAREHOLDER | |
| CHOKSI, ANISH PAREN | CHIEF COMPLIANCE OFFICER | 6506840 |
| EISENSTEIN, JEREMY S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 4972748 |
| FYFFE, JAMES COMPEAU | CHIEF FINANCIAL OFFICER, FINOP & PFO | 2619159 |
| GERAGHTY, PETER RICHARD | GENERAL COUNSEL | 4930752 |
| GREEFF, BRIAN MICHAEL | COO & POO | 4273392 |
| SIEGLER, ADAM JAMES | MANAGING DIRECTOR | 5112351 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
