Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Michael Dougherty is a registered representative with Wells Fargo Securities, LLC and has been in the industry since September 2019. Stephen is licensed to provide investment advice in 15 states, including Arizona, California, Colorado, Florida, Georgia, Idaho, Illinois, Indiana, Massachusetts, New Jersey, New York, Oregon, Pennsylvania, Texas, and Utah. Stephen has passed the Series 63, Series 79TO, Series 52TO, and SIE exams.
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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2
TX
09/26/2019 - Present
Wells Fargo Securities, LLC (Austin TX)
BC
Issued 08/22/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/21/2020
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 09/26/2019
Series 52TO - Municipal Securities Representative Examination
BC
Issued 09/09/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE National, Inc.
N
New York Stock Exchange
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