Ronald C. Dougherty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald Craig Dougherty, who also goes by Ron Dougherty, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1982. Ronald had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2016 - January 3, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
January 10, 2012 - August 1, 2016
VSR FINANCIAL SERVICES, INC.
December 9, 2011 - August 1, 2016
VSR FINANCIAL SERVICES, INC.
October 17, 2006 - December 21, 2009
PRINCIPAL SECURITIES, INC.
April 2, 1982 - December 21, 2009
PRINCIPAL SECURITIES, 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
Exams
Current Firm
BROKER DEALER FINANCIAL SERVICES CORP.
CRD#: 8073 / SEC#: , 8-24220
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
