Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Dougherty is a financial professional with experience in the financial services industry. Brian is currently registered with DFA Securities LLC and holds the Series 3, 7, and 63 licenses. Brian has previously worked at AQR Investments, LLC and ALPS Distributors, 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.
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.
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2
NC
07/25/2024 - Present
DFA Securities LLC (CHARLOTTE NC)
CT
01/02/2019 - 06/21/2022
AQR INVESTMENTS, LLC (Greenwich CT)
CT
11/09/2017 - 12/31/2018
ALPS DISTRIBUTORS, INC. (GREENWICH CT)
BC
Issued 03/27/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/03/2018
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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