Ann I. Daugherty

IBN FINANCIAL SERVICES

Liverpool, NY 13088

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CRD#: 1032967

Professional summary

Ann Isabel Daugherty is a registered financial professional currently at IBN FINANCIAL SERVICES, INC. located in Liverpool, New York.

Ann is registered as a RR (Registered Representative) and started their career in finance in 1983. Ann has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ann Isabel Daugherty's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 30, 2017 - Present

IBN FINANCIAL SERVICES, INC.

Office #1: 404 Old Liverpool Rd, Liverpool, NY 13088

RIA

CRD#: 42360

Liverpool, NY

Past

August 18, 2014 - June 30, 2017

FREEDOM INVESTORS CORP.

CRD#: 23714

Longwood, FL

Past

July 16, 2012 - December 18, 2012

EAST / WEST SECURITIES CORP.

CRD#: 157346

SAN FRANCISCO, CA

Past

November 4, 2010 - December 31, 2014

MERRIMAC CORPORATE SECURITIES, INC.

CRD#: 35463

ALTAMONTE SPRINGS, FL

Past

October 14, 2010 - November 26, 2010

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

MELVILLE, NY

Past

August 25, 2009 - October 19, 2010

WALLSTREET*E FINANCIAL SERVICES, INC.

CRD#: 43896

CORAL GABLES, FL

Past

January 17, 2006 - August 14, 2009

INVESTORS CAPITAL CORP.

CRD#: 30613

SAN FRANCISCO, CA

Past

August 23, 2005 - January 3, 2006

MFR SECURITIES, INC.

CRD#: 36308

NAPLES, FL

Past

December 18, 2003 - August 30, 2005

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 3, 2003 - December 31, 2003

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

May 8, 2002 - May 28, 2003

REDWOOD SECURITIES GROUP, INC.

CRD#: 27536

SAN FRANCISCO, CA

Past

January 16, 2002 - March 26, 2002

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

Past

July 16, 1998 - September 26, 2000

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

October 4, 1995 - July 14, 1998

GILFORD SECURITIES INCORPORATED

CRD#: 8076

NEW YORK, NY

Past

October 10, 1990 - May 2, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 23, 1986 - September 28, 1990

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 15, 1983 - September 29, 1986

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IBN FINANCIAL SERVICES, INC.

IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.

CRD#: 42360 / SEC#: 801-111848, 8-49815

RIA

Registered Investment Advisory firm - SEC (10/12/2017 Approved)

Kentucky

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (2/28/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (7/19/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/12/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (2/5/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/30/2017)

Georgia
(7/26/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/20/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/11/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/9/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

IBN FINANCIAL SERVICES, INC.

IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.

CRD#: 42360 / SEC#: 801-111848, 8-49815

RIA

Registered Investment Advisory firm - SEC (10/12/2017 Approved)

Kentucky

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (2/28/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (7/19/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/12/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (2/5/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

404 Old Liverpool Rd, Liverpool, NY 13088

Mailing Address

P.o. Box 2365, Liverpool, NY 13089

Phone number

(315) 652-4426

Established

New York since 12/15/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (18 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RICHARD J CARLESCO JR (3/21/2025)

IBN FN PART 2A BROCHURE (3/21/2025)

CHRIS AVERY FORM 2B (3/21/2025)

FRED KAHN FORM 2B (3/21/2025)

MARK LEVITCH FORM 2B (3/21/2025)

SUSAN LOHMILLER FORM 2B (3/21/2025)

PATRICK DELANEY FORM 2B (3/21/2025)

RALPH PLINE FORM 2B (3/21/2025)

DANIEL RIPLEY ADV PART 2B (3/21/2025)

DEAN MACRIS FORM 2B (3/21/2025)

SAMUEL BIANCHI FORM 2B (3/21/2025)

ELLIOT SCHRAG FORM 2B (3/21/2025)

HARJIT ARORA PHD FORM 2B (3/21/2025)

PETER BIFFARELLA FORM 2B (3/21/2025)

SCOTT CURTIS FORM 2B (3/21/2025)

THERESA LYNN ELLIS FORM 2B (3/21/2025)

TODD GLENN FORM 2B (3/21/2025)

CHAD COLBERT FORM 2B (3/21/2025)

STEVE YAZELL FORM 2B (3/21/2025)

F. WILLIAM LIBARDONI JR. FORM 2B (3/21/2025)

ERIK LENTINEN FORM 2B (3/21/2025)

JOHN MAHSHIE FORM 2B (3/21/2025)

R STEVENS FORM 2B (3/21/2025)

HOWARD MODELL- FORM 2B BROCHURE (3/21/2025)

LOREN WOOD FORM 2B- BROCHURE (3/21/2025)

ROBERT D'AGOSTA FORM 2B- BROCHURE (3/21/2025)

ANDREW CAMARDA- FORM 2B BROCHURE (3/21/2025)

KRISTINA SINITSIN FORM 2B- BROCHURE (3/21/2025)

ROBERT TACKABURY FORM 2B- BROCHURE (3/21/2025)

ROBERT STAR FORM 2B- BROCHURE (3/21/2025)

ROBERT MOSKWA FORM 2B (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
CARLESCO, RICHARD JAMES JR	CHIEF EXECUTIVE OFFICER, CHEIF FINANCIAL OFFICER	2135988
AVERY, CHRISTOPHER RYAN	CHIEF OPERATIONS OFFICER	4706653
EVANS, TIMOTHY EDWARD	EQUITY PARTNER	6259284
BODKIN, GREGORY PATRICK	CHIEF COMPLIANCE OFFICER	3008389

Regulatory assets under management

Total Number of Accounts	768
AUM (Assets Under Management)	$ 180,458,175

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Ann I. Daugherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ann Isabel Daugherty's CRS (Customer Relationship Summary).

Certified licenses

Experience

FREEDOM INVESTORS CORP.

EAST / WEST SECURITIES CORP.

MERRIMAC CORPORATE SECURITIES, INC.

BROOKVILLE CAPITAL PARTNERS

WALLSTREET*E FINANCIAL SERVICES, INC.

INVESTORS CAPITAL CORP.

MFR SECURITIES, INC.

OPPENHEIMER & CO. INC.

INVESTORS CAPITAL CORP.

REDWOOD SECURITIES GROUP, INC.

INTERFIRST CAPITAL CORPORATION

THE INVESTMENT CENTER, INC.

GILFORD SECURITIES INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

IBN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/1999

Series 63

Date: 7/20/1983

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1986

Series 6

Date: 8/11/1983

Series 24

Date: 11/9/1998

FINRA

Current Firm

IBN FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (18 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

IBN FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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