Robert M. Dougherty
Professional summary
Robert Michael Dougherty JR, who also goes by Michael Dougherty, Robert Michael Dougherty, is a registered financial professional currently at LOMBARD SECURITIES INCORPORATED located in Baltimore, Maryland.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1981. Robert has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Michael Dougherty JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 2, 2024 - Present
LOMBARD SECURITIES INCORPORATED
Office #1: 1820 Lancaster Street Second Floor, Baltimore, MD 21231June 12, 2020 - December 5, 2024
AEGIS CAPITAL CORP.
August 5, 2016 - June 19, 2020
OPPENHEIMER & CO. INC.
August 5, 2016 - June 19, 2020
OPPENHEIMER & CO. INC.
August 27, 2013 - September 1, 2016
CAPITAL PORTFOLIO MANAGEMENT, INC.
June 7, 2013 - September 1, 2016
CAPITAL PORTFOLIO MANAGEMENT, INC.
October 17, 2008 - June 10, 2013
CHAPIN, DAVIS
October 17, 2008 - June 10, 2013
CHAPIN, DAVIS
January 1, 2008 - October 24, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - October 24, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 16, 2001 - January 1, 2008
A. G. EDWARDS & SONS, INC.
January 21, 2000 - January 3, 2008
A. G. EDWARDS & SONS, INC.
February 12, 1996 - February 10, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 11, 1989 - February 6, 1996
FERRIS, BAKER WATTS, LLC
May 10, 1984 - June 25, 1986
KIDDER, PEABODY & CO. INCORPORATED
September 30, 1981 - January 2, 1990
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/2/2024)
(2/10/2025)
(2/7/2025)
(12/2/2024)
(12/2/2024)
(12/9/2024)
(12/2/2024)
(1/27/2025)
Exams
FINRA
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
