Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Randall Dougherty is a financial advisor with Arete Wealth Management, LLC. Robert has been in the securities industry for over 11 years and has a Series 7 and Series 63 license. Robert is registered with the Financial Industry Regulatory Authority (FINRA) and is also registered with the securities regulators in 25 states. Robert is located in Carmel, NY.
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.
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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NY
07/20/2022 - Present
Arete Wealth Management, LLC (Carmel NY)
NY
02/25/2021 - 07/21/2022
NATIONAL SECURITIES CORPORATION (WHITE PLAINS NY)
NY
04/18/2019 - 02/26/2021
SOVEREIGN GLOBAL ADVISORS LLC (White Plains NY)
NY
03/23/2011 - 04/17/2019
NATIONAL SECURITIES CORPORATION (NEW YORK NY)
BC
Issued 04/01/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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