Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Dougherty is a financial advisor with over 40 years of experience in the financial services industry. Dennis has been registered with UBS Financial Services Inc. since August 2011. Prior to joining UBS, Dennis worked at Wells Fargo Advisors, LLC and Wells Fargo Investments, LLC. Dennis has a wide range of experience and expertise in financial planning, portfolio management, and investment advisory services. Dennis is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
See schedule d - miscellaneous
1
2
CO
08/05/2011 - Present
UBS Financial Services Inc. (DENVER CO)
CO
01/03/2011 - 08/08/2011
WELLS FARGO ADVISORS, LLC (GREENWOOD VILLAGE CO)
CO
09/07/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (GREENWOOD VILLAGE CO)
NY
07/31/1991 - 08/30/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
CO
01/24/1991 - 07/19/1991
NEIDIGER, TUCKER, BRUNER, INC. (HIGHLANDS RANCH CO)
CO
07/18/1990 - 02/22/1991
MALONE & ASSOCIATES, INC. (DENVER CO)
NA
02/07/1990 - 07/23/1990
FIRST AMERICA EQUITIES CORP.
CO
11/17/1989 - 02/06/1990
COHIG & ASSOCIATES, INC. (ENGLEWOOD CO)
NA
07/11/1985 - 11/28/1989
MARSHALL DAVIS, INC.
NA
07/11/1984 - 06/27/1985
NIELSON AND CLARK INC.
NA
04/16/1984 - 04/30/1984
WALFORD, DEMARET & CO., INC.
NA
08/31/1983 - 04/13/1984
B. J. LEONARD AND COMPANY, INC.
NA
11/04/1981 - 09/06/1983
FIRST COLORADO INVESTMENTS & SECURITIES, INC.
NA
06/23/1981 - 09/24/1981
B & L SECURITIES CORPORATION
BC
Issued 11/24/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/19/1987
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/26/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 06/20/1981
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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