Unclaimed Profile

James Weaver Dougherty

CROWELL, WEEDON & CO.·LOS ANGELES, California

SIE, Series 7, Series 9, Series 10, Series 63, Series 6628 years registeredCROWELL, WEEDON & CO.

624 SO. GRAND AVE., SUITE 2510, LOS ANGELES, CA 90017CRD# 1620921Firm CRD# 193

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Weaver Dougherty · LOS ANGELES, CA

Registration

CRD #1620921 · CROWELL, WEEDON & CO. · 28 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CROWELL, WEEDON & CO.

D.A. DAVIDSON & CO.

Nov 2013 – Oct 2021

Claremont, CA

CROWELL WEEDON & CO.

Nov 2013 – Nov 2013

BIG BEAR LAKE, CA

CROWELL, WEEDON & CO.

Dec 1997 – Nov 2013

BIG BEAR LAKE, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 63

Series 66

Registration record

First registered · December 31, 1997

Years registered · 28

Disclosure History

1997Customer Dispute·Award / Judgment

1997Regulatory·Final

1995Regulatory·Final

1994Employment Separation After Allegations

1982Criminal·Final Disposition

5 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

CROWELL, WEEDON & CO.

CRD 193 · SEC 801-67246

AUM

$1.0B

Regulatory assets under management

Employees

150

2,936 client accounts

Services offered by CROWELL, WEEDON & CO.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at CROWELL, WEEDON & CO. →

Introduction

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Frequently Asked Questions

What services does James Weaver Dougherty offer?

James Weaver Dougherty specializes in Financial Planning, Investment Management, Wealth Management.

What are James Weaver Dougherty's credentials?

James Weaver Dougherty is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Weaver Dougherty located?

James Weaver Dougherty is based in LOS ANGELES, California, last registered with CROWELL, WEEDON & CO..

How does James Weaver Dougherty charge for services?

James Weaver Dougherty's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CROWELL, WEEDON & CO.?

CROWELL, WEEDON & CO. has approximately 150 employees and manages $1.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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