Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Dougherty is a financial advisor registered with Wells Fargo Clearing Services, LLC. David has been in the industry since February 1976, and has held previous roles at Morgan Stanley, WELLS FARGO ADVISORS, LLC, UBS FINANCIAL SERVICES INC., PRUDENTIAL SECURITIES INCORPORATED, SHEARSON LEHMAN HUTTON INC., E. F. HUTTON & COMPANY INC and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. David is registered in 15 states and holds Series 3, 7, 63, 65 and SIE licenses. David holds the Certified Financial Planner designation and provides a range of services including financial planning, portfolio management and investment consulting.
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.
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.
Investment consulting services to institutional clients
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.
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2
CA
03/14/2022 - Present
Wells Fargo Clearing Services, LLC (SEAL BEACH CA)
CA
02/01/2013 - 02/11/2022
MORGAN STANLEY (Long Beach CA)
CA
05/02/2005 - 02/04/2013
WELLS FARGO ADVISORS, LLC (SEAL BEACH CA)
NJ
07/08/1994 - 05/12/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
02/22/1988 - 07/15/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
02/15/1988 - 04/09/1988
SHEARSON LEHMAN HUTTON INC.
NA
08/06/1984 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
09/26/1978 - 08/23/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
01/27/1976 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 09/21/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/1987
Series 3 - National Commodity Futures Examination
BC
Issued 08/01/1984
PC - AMEX Put and Call Exam
BC
Issued 01/17/1976
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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