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Dillon Lee Dougherty

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.·BUFFALO, Minnesota
SIE, Series 7, Series 66Clean record8 years registeredDOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
103 MARTY DRIVE, BUFFALO, MN 55313CRD# 6676496Firm CRD# 165145

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Dillon Lee Dougherty · BUFFALO, MN
Registration
CRD #6676496 · DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. · 8 years registered
Brand Profile
Not yet started
01

Career History

INDEPENDENT FINANCIAL GROUP, LLC
Dec 2019 – present
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
Apr 2018 – present
INDEPENDENT FINANCIAL GROUP, LLC
Apr 2018 – Apr 2018
ST PAUL, MN
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 66
Registration record
First registered · April 17, 2018
Years registered · 8
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 Dillon Lee Dougherty offer?
Dillon Lee Dougherty specializes in Financial Planning, Investment Management. Contact their office in BUFFALO, Minnesota for a consultation.
What are Dillon Lee Dougherty's credentials?
Dillon Lee Dougherty is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Dillon Lee Dougherty located?
Dillon Lee 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 Dillon Lee Dougherty charge for services?
Dillon Lee 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.

Daniel John Dougherty
BUFFALO, MN
Michael John Dougherty
BUFFALO, MN

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