Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Dougherty is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. with over six years of experience in the industry. Sean has been registered in Ohio and Texas. Sean holds several licenses, including Series 7TO, Series 63, and Series 66. He specializes in providing a variety of investment products and services, including: portfolio management for individuals, portfolio management for businesses, selection of other advisors, and educational seminars. Sean’s previous experience includes employment with Equitable Advisors, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Bank of America, N.A..
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
OH
08/02/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HUDSON OH)
OH
02/27/2024 - 04/26/2024
EQUITABLE ADVISORS, LLC (CLEVELAND OH)
OH
07/11/2019 - 01/18/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHAGRIN FALLS OH)
BOTH
Issued 06/22/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/01/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/05/2024
Series 7TO - General Securities Representative Examination
BC
Issued 12/06/2018
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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