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Kenneth J Dougherty

Advisors Asset Management, Inc.

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About Kenneth J Dougherty

Kenneth J. Dougherty is an investment advisor representative at Advisors Asset Management, Inc.. Kenneth has been in the industry for over 30 years. Kenneth also worked at Cohen & Steers Securities, LLC from July 2014 to February 2019. Before that, Kenneth worked at American Century Investment Services Inc. from April 2008 to July 2014. Kenneth has a Series 6, Series 7 and Series 63 license. Kenneth also has the SIE license. Kenneth is currently registered in Connecticut and New York.

Firm Information

Kenneth Dougherty is currently registered with Advisors Asset Management, Inc.. Advisors Asset Management, Inc. is a corporation formed in 2008 and headquartered in Monument, Colorado. The firm provides investment advisory services to individuals, businesses, and pooled investment vehicles. They specialize in portfolio management and serve a wide range of clients including individuals, corporations, investment companies, pension plans, and other investment advisors. The firm is registered with the SEC and in all 50 states and the District of Columbia. Their website and social media presence provide access to their services and resources.
Advisors Asset Management, Inc.

18925 BASE CAMP ROAD

MONUMENT, CO 80132

$3.85B

Assets Under Management

Not reported

Total Clients

185

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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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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supervisor/evaluator to unit investment trusts

Supervisor/evaluator to unit investment trusts

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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Kenneth Dougherty’s Registration & Firm History

CT

03/05/2019 - Present

Advisors Asset Management, Inc. (Fairfield CT)

NY

07/17/2014 - 02/13/2019

COHEN & STEERS SECURITIES, LLC (NEW YORK NY)

MO

04/08/2008 - 07/25/2014

AMERICAN CENTURY INVESTMENT SERVICES INC. (KANSAS CITY MO)

NY

07/08/1997 - 03/17/2008

SELIGMAN ADVISORS, INC. (NEW YORK NY)

RI

02/13/1995 - 07/23/1997

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

TX

05/07/1991 - 12/08/1994

VAN KAMPEN MERRITT INC. (HOUSTON TX)

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Licenses & Designations

IA

Issued 03/05/2019

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/01/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/10/1992

Series 7 - General Securities Representative Examination

BC

Issued 05/06/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Kenneth J Dougherty.
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