Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Dougherty is a financial advisor with over 29 years of experience in the industry. He has held previous roles with Oppenheimer & Co. Inc., TD Ameritrade, Inc., Wachovia Securities Financial Network, LLC, Prudential Securities Incorporated, and Fahnestock & Co., Inc. He is currently registered with LPL Financial LLC, and has been with the firm since August 2021. Richard is licensed to provide investment advice in California, New Jersey, and New York.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
01/01/2025 - Present
LPL Financial LLC (NEWPORT BEACH CA)
CA
06/02/2021 - 08/13/2021
OPPENHEIMER & CO. INC. (NEWPORT BEACH CA)
CA
11/17/2003 - 01/11/2021
TD AMERITRADE, INC. (MISSION VIEJO CA)
MO
08/11/2000 - 11/06/2003
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (ST. LOUIS MO)
NY
06/28/1995 - 08/16/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/13/1988 - 07/05/1990
FAHNESTOCK & CO., INC. (NEW YORK NY)
NA
11/18/1986 - 04/13/1988
FAHNESTOCK INTERNATIONAL INC.
IA
Issued 07/07/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/09/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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