Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Dougherty is a registered investment advisor representative with Morgan Stanley. Dougherty has been working in the securities industry since December 18, 2017 and is registered with the Securities and Exchange Commission. Dougherty is also registered with the Financial Industry Regulatory Authority (FINRA) and is a member of FINRA. Dougherty is licensed to sell securities in several states, including Illinois, Texas, and 41 other states. He is registered to provide investment advisory services in two states. Dougherty has Series 66, SIE, and Series 7 licenses. Dougherty is also registered to provide investment advisory services in Illinois and Texas. Dougherty is a member of the Morgan Stanley team, which manages over $1.4 trillion in assets under management.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IL
07/23/2018 - Present
Morgan Stanley (Chicago IL)
BOTH
Issued 02/16/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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