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David Dougherty

Citizens Securities, Inc.

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About David Dougherty

David Dougherty is a financial advisor with Citizens Securities, Inc. David has been in the industry since November 11, 1999. David is registered to provide investment advice in 52 states and the District of Columbia. David is also registered with FINRA and the Securities Industry Essentials (SIE) Examination. David offers financial planning, portfolio management for individuals, and selection of other advisers. David has worked for several firms in the past, including Santander Securities LLC, PNC Investments, Wachovia Securities, LLC, and Morgan Stanley DW Inc.

Firm Information

David Dougherty is currently registered with Citizens Securities, Inc.. Citizens Securities, Inc. is a corporation headquartered in Johnston, Rhode Island, and was formed on September 21, 1995. The firm manages approximately $1 billion to $10 billion in assets and provides financial planning, portfolio management for individuals and selection of other advisors. They also participate in a wrap fee program. The firm has regulatory assets under management of $9.19 billion in 53,044 accounts. Citizens Securities is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.
Citizens Securities, Inc.

ONE CITIZENS BANK WAY

JOHNSTON, RI 02043

$9.19B

Assets Under Management

53,044

Total Clients

788

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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participate in wrap fee program

Participate in wrap fee program

Fee Structure

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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percentage of assets

A percentage of the total value of assets under management is charged.

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David Dougherty’s Registration & Firm History

FL

04/08/2022 - Present

Citizens Securities, Inc. (West Palm Beach FL)

PA

06/30/2017 - 04/11/2022

SANTANDER SECURITIES LLC (Bensalem PA)

NJ

05/13/2005 - 06/16/2017

PNC INVESTMENTS (MARLTON NJ)

MO

04/03/2002 - 05/02/2005

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

10/06/1999 - 03/19/2002

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 05/12/2022

Series 65 - Uniform Investment Adviser Law Examination

BOTH

Issued 07/16/1999

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/23/1999

Series 31 - Futures Managed Funds Examination

BC

Issued 06/22/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Dougherty.
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