Heather Doherty

Heather Doherty is a compliance manager at Commonwealth Financial Network®, member FINRA/SIPC, an independent broker/dealer–RIA. With the firm since January 2008, she oversees the group that provides consulting services internally and to our branch offices. In addition, she is responsible for overseeing the review of internal and external correspondence in accordance with industry rules. Heather earned her BS in business administration, with a concentration in marketing, from Bryant University.

Information about securities-registered professionals may be found at FINRA BROKERCHECK.

Recent Posts

Creating a Firm Culture That Puts Your Clients First

Navigating Client Relationships: 5 Potential Scenarios

Creating a Firm Culture That Puts Your Clients First

Posted by Heather Doherty

November 1, 2017 at 1:30 PM

When you and your clients make the mutual decision to engage in a relationship, it generally starts with a shared vision and some level of trust. From there, in order to continually build the relationship, you must go about creating a firm culture that puts your clients first. But what exactly does that entail?

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Topics: Compliance

Navigating Client Relationships: 5 Potential Scenarios

Posted by Heather Doherty

January 27, 2016 at 1:30 PM

Among the most rewarding experiences that you have as an advisor is developing relationships with your clients and their families. As you help your clients pursue their investment-related goals and objectives, interesting and/or challenging scenarios are bound to arise. These may include issues surrounding aging clients, significant life events, and changes in marital relationships, just to name a few.

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Topics: Compliance

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