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James William Dougherty

Robinhood Financial, LLC

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About James William Dougherty

James William Dougherty is a licensed financial advisor currently registered with Robinhood Financial, LLC. James has been in the industry since January 29, 2019. James has passed the Series 66, Series 7 and the SIE exam. James is licensed in 53 states including Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. James was previously employed at First Command Brokerage Services, INC. and Edward Jones.

Firm Information

James Dougherty is currently registered with Robinhood Financial, LLC. Robinhood Financial, LLC is a Limited Liability Company formed in August 2012. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. Robinhood Financial, LLC has been the subject of 52 regulatory events and 5 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

302

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.

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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James Dougherty’s Registration & Firm History

FL

04/21/2023 - Present

Robinhood Financial, LLC (Lake Mary FL)

TX

01/15/2021 - 12/19/2022

FIRST COMMAND BROKERAGE SERVICES, INC. (FORT WORTH TX)

TN

03/21/2018 - 11/25/2019

EDWARD JONES (WINCHESTER TN)

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Licenses & Designations

BOTH

Issued 04/12/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/21/2018

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James William Dougherty.
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