Unclaimed
Dominic Dougherty is a registered representative with Northwestern Mutual Investment Services, LLC based in IRVING, TX. Dominic has been in the financial services industry since 2019 and is currently licensed in Arkansas, Florida, Kansas, Missouri, Nebraska, Ohio, Texas and Wisconsin. Previously, Dominic was employed at TD AMERITRADE, INC. in Southlake, TX. Dominic holds the Series 63, Series 7 and SIE exams.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
TX
08/24/2020 - Present
Northwestern Mutual Investment Services, LLC (IRVING TX)
TX
06/06/2018 - 12/06/2019
TD AMERITRADE, INC. (Southlake TX)
BC
Issued 06/15/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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