Andrew Doughty has been an investment adviser representative at Northeast Planning Associates since February 2014, and is not listed among the firm’s executive officers or direct owners. Andrew Doughty holds a BA in Finance from Gordon College.
Northeast Planning Associates, Inc. is a Bedford, NH firm with $414M under management, 959 clients and 69 advisers across 36 offices, as of its May 2026 filing.
Andrew T. Doughty is a Financial Planner with Northeast Planning Associates, Inc., which he joined in 2013. He provides investment research, technical support and financial planning services to the firm. Before joining NPA, he supported practices in Massachusetts and Florida.
Andrew Doughty’s longest registration is the current one, 12 years at LPL Financial LLC since 2014. Before joining Northeast Planning Associates in 2014, Andrew Doughty was registered through Ameriprise Financial Services, Inc. and LPL Financial Corporation.
- – present · 12 yearsBedford, NH · Adviser representative · Firm CRD 131406
- LPL Financial LLCAlso current– present · 12 yearsAdviser representative · Firm CRD 6413
- Ameriprise Financial Services, Inc.– · 3 yearsOrlando, FL · Adviser representative · Firm CRD 6363
- LPL Financial Corporation– · under a yearDanvers, MA · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Andrew Doughty is registered as an investment adviser representative in 2 states. The first approvals date from February 2014; the most recent is Massachusetts, in November 2019.
- MassachusettsSince 27 November 2019
- New HampshireSince 3 February 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 20 July 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 August 2008 |
| Series 7 | General Securities Representative Examination | 6 August 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Andrew Timothy Doughty
- CRD
- 5414349
- Firm
- Northeast Planning Associates · CRD 131406
- Office
- 43 CONSTITUTION DRIVE, Bedford, NH 03110
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 2009
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- henrycooley.com
Where does Andrew Doughty work?
Andrew Doughty is an investment adviser representative registered through Northeast Planning Associates, Inc. since February 2014, and is not listed among the firm’s executive officers or direct owners.
Is Andrew Doughty a financial advisor?
Yes. Andrew Doughty has a current investment-adviser registration in Massachusetts and New Hampshire, through Northeast Planning Associates since February 2014.
How many years of experience does Andrew Doughty have?
Andrew Doughty has 17 years in the financial industry, since January 2009, across 3 adviser firms.
What exams has Andrew Doughty passed?
Andrew Doughty has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in August 2008. FINRA credited Andrew Doughty with the SIE, which began in October 2018.
Where did Andrew Doughty work before Northeast Planning Associates?
Before Northeast Planning Associates, Andrew Doughty was registered through Ameriprise Financial Services, Inc., February 2010 to October 2013; LPL Financial Corporation, July 2009 to January 2010.
Where is Andrew Doughty based?
Andrew Doughty’s registered office is in Bedford, NH.
Is Andrew Doughty registered with FINRA?
Yes. Andrew Doughty has a current broker registration, under CRD 5414349.
Source: FINRA BrokerCheck
How can I verify Andrew Doughty’s record?
Search CRD 5414349 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Andrew Doughty’s full registration record.
