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Detailed Report
TIMOTHY JAMES DOHERTY
CRD#: 5149690
IA
Investment Adviser
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Previous Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 24 WATERWAY AVE
STE 1400
THE WOODLANDS, TX 77380-3391
Registration History
20062008201020122014201620182020202220242026IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2006 - Present (18 years)
License(s)

State Registrations

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Texas 7/11/2006
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
24 WATERWAY AVE STE 1400, THE WOODLANDS, TX 77380-3391
Conroe, TX
Registered with this firm since 7/11/2006
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.