Unclaimed Profile

Michael John Dougherty

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.·BUFFALO, Minnesota

SIE, Series 7, Series 24, Series 63, Series 65Clean record23 years registeredDOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

103 MARTY DRIVE, BUFFALO, MN 55313CRD# 2456707Firm CRD# 165145

Profile Verification

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

Identity

Michael John Dougherty · BUFFALO, MN

Registration

CRD #2456707 · DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. · 23 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

INDEPENDENT FINANCIAL GROUP, LLC

Feb 2015 – Jan 2020

BUFFALO, MN

SECURITIES MONITORING GROUP, LLC

Nov 2014 – Dec 2014

BUFFALO, MN

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

Oct 2012 – Jan 2020

BUFFALO, MN

INDEPENDENT FINANCIAL GROUP, LLC

Feb 2011 – Dec 2011

BUFFALO, MN

SECURITIES MONITORING GROUP, LLC

Jul 2003 – Nov 2014

BUFFALO, MN

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · July 29, 2003

Years registered · 23

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

CRD 165145 · SEC 801-93169

AUM

$308M

Regulatory assets under management

Employees

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. →

Introduction

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Frequently Asked Questions

What services does Michael John Dougherty offer?

Michael John Dougherty specializes in Financial Planning, Investment Management.

What are Michael John Dougherty's credentials?

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

Where is Michael John Dougherty located?

Michael John Dougherty is based in BUFFALO, Minnesota, last registered with DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC..

How does Michael John Dougherty charge for services?

Michael 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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