Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Dean Doughty is a registered representative with Stifel, Nicolaus & Company, Inc. in Olympia, Washington. Benjamin has been in the industry since 1999 and is licensed in 17 states. Benjamin holds the Series 31, 63, 65, and 7 licenses and the SIE. In addition to his current role at Stifel, Nicolaus & Company, Inc., Benjamin has previous experience with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
WA
07/09/2012 - Present
Stifel, Nicolaus & Company, Inc. (OLYMPIA WA)
WA
06/01/2009 - 07/17/2012
MORGAN STANLEY SMITH BARNEY (OLYMPIA WA)
WA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (OLYMPIA WA)
WA
01/22/1999 - 04/02/2007
MORGAN STANLEY DW INC. (OLYMPIA WA)
IA
Issued 01/21/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/21/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 12/23/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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