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Daniel John Dougherty

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.·BUFFALO, Minnesota
SIE, Series 7, Series 66Clean record10 years registeredDOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
103 MARTY DRIVE, BUFFALO, MN 55313CRD# 6359033Firm CRD# 165145

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Daniel John Dougherty · BUFFALO, MN
Registration
CRD #6359033 · DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. · 10 years registered
Brand Profile
Not yet started
01

Career History

INDEPENDENT FINANCIAL GROUP, LLC
Feb 2020 – present
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
Nov 2015 – present
INDEPENDENT FINANCIAL GROUP, LLC
Oct 2015 – Nov 2015
SAN DIEGO, CA
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 66
Registration record
First registered · October 8, 2015
Years registered · 10
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
CRD 165145 · SEC 801-93169
AUM
$308M
Regulatory assets under management
Employees
8
2,327 client accounts
Services offered by DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. →
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05

Frequently Asked Questions

What services does Daniel John Dougherty offer?
Daniel John Dougherty specializes in Financial Planning, Investment Management. Contact their office in BUFFALO, Minnesota for a consultation.
What are Daniel John Dougherty's credentials?
Daniel John Dougherty is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Daniel John Dougherty located?
Daniel John Dougherty is based in BUFFALO, Minnesota, working with DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.. Their office serves clients in the BUFFALO metropolitan area and surrounding communities.
How does Daniel John Dougherty charge for services?
Daniel John Dougherty's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.?
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. has approximately 8 employees and manages $308M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

Dillon Lee Dougherty
BUFFALO, MN
Michael John Dougherty
BUFFALO, MN

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