Michael P. Dougherty

UNITED ADVISORS AMERICA

EDEN PRAIRE, MN

Some features on this profile are disabled

CRD#: 1287396

Professional summary

Michael Patrick Dougherty is a registered financial advisor currently at UNITED ADVISORS AMERICA located in Eden Praire, Minnesota.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Michael has worked at 7 firms and has passed the Series 63, Series 7, Series 6 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

ALLIANCE AMERICA, NOT INVESTMENT RELATED, 6710 PROFESSIONAL PARKWAY WEST, SUITE 310, SARASOTA, FL 34240. INSURANCE SALES, FINANCIAL PLANNING REPRESENTATIVE, START DATE 08/2011, 160 HOURS PER MONTH DURING SECURITY TRADING HOURS, SELL INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Patrick Dougherty'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

November 7, 2011 - Present

UNITED ADVISORS AMERICA

RIA

CRD#: 147350

EDEN PRAIRE, MN

Past

February 15, 2002 - January 16, 2004

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

March 31, 1999 - January 11, 2002

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

July 9, 1993 - March 31, 1999

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

July 9, 1991 - July 2, 1993

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

March 27, 1990 - June 11, 1991

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

September 11, 1985 - March 30, 1990

PRINCETON AMERICAN EQUITIES CORPORATION

CRD#: 14491

PHOENIX, AZ

Past

December 3, 1984 - February 27, 1985

SECURITIES AMERICA, INC.

CRD#: 10205

Past

December 3, 1984 - September 9, 1985

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

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".

UNITED ADVISORS AMERICA

UNITED ADVISORS AMERICA | UNITED ADVISORS CORPORATION | UNITED ADVISORS AMERICA CORPORATION

CRD#: 147350 / SEC#: 801-114134

RIA

Registered Investment Advisory firm - (10/12/2018 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2010 Terminated)

Arkansas

Registered Investment Advisory firm - (10/29/2018 Terminated)

Florida

Registered Investment Advisory firm - (8/23/2015 Terminated)

Georgia

Registered Investment Advisory firm - (10/29/2018 Terminated)

Illinois

Registered Investment Advisory firm - (10/17/2018 Terminated)

Indiana

Registered Investment Advisory firm - (6/20/2011 Terminated)

Iowa

Registered Investment Advisory firm - (11/1/2018 Terminated)

Kansas

Registered Investment Advisory firm - (10/29/2018 Terminated)

Kentucky

Registered Investment Advisory firm - (10/29/2018 Terminated)

Michigan

Registered Investment Advisory firm - (10/30/2018 Terminated)

Missouri

Registered Investment Advisory firm - (10/29/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (10/30/2018 Terminated)

Ohio

Registered Investment Advisory firm - (10/30/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - (10/29/2018 Terminated)

Oregon

Registered Investment Advisory firm - (2/27/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/30/2018 Terminated)

Tennessee

Registered Investment Advisory firm - (11/1/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - (10/30/2018 Terminated)

Washington

Registered Investment Advisory firm - (1/28/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/29/2018 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(10/17/2018)

IAR

Texas
(5/20/2024)

IAR

Washington
(5/20/2024)

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

Series 63

Date: 7/24/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/15/1985

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 7/25/1984

Direct Participation Programs Representative Examination

Current Firm

UNITED ADVISORS AMERICA

UNITED ADVISORS AMERICA | UNITED ADVISORS CORPORATION | UNITED ADVISORS AMERICA CORPORATION

CRD#: 147350 / SEC#: 801-114134

RIA

Registered Investment Advisory firm - (10/12/2018 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2010 Terminated)

Arkansas

Registered Investment Advisory firm - (10/29/2018 Terminated)

Florida

Registered Investment Advisory firm - (8/23/2015 Terminated)

Georgia

Registered Investment Advisory firm - (10/29/2018 Terminated)

Illinois

Registered Investment Advisory firm - (10/17/2018 Terminated)

Indiana

Registered Investment Advisory firm - (6/20/2011 Terminated)

Iowa

Registered Investment Advisory firm - (11/1/2018 Terminated)

Kansas

Registered Investment Advisory firm - (10/29/2018 Terminated)

Kentucky

Registered Investment Advisory firm - (10/29/2018 Terminated)

Michigan

Registered Investment Advisory firm - (10/30/2018 Terminated)

Missouri

Registered Investment Advisory firm - (10/29/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (10/30/2018 Terminated)

Ohio

Registered Investment Advisory firm - (10/30/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - (10/29/2018 Terminated)

Oregon

Registered Investment Advisory firm - (2/27/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/30/2018 Terminated)

Tennessee

Registered Investment Advisory firm - (11/1/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - (10/30/2018 Terminated)

Washington

Registered Investment Advisory firm - (1/28/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/29/2018 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

290 S Preston Road Suite 220, Prosper, TX 75078

Mailing Address

Phone number

(877) 443-0610

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A JUNE 2025 (6/30/2025)

Regulatory assets under management

Total Number of Accounts	2,625
AUM (Assets Under Management)	$ 353,695,420

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael P. Dougherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Patrick Dougherty's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

TITAN/VALUE EQUITIES GROUP, INC.

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

PRINCETON AMERICAN EQUITIES CORPORATION

SECURITIES AMERICA, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

UNITED ADVISORS AMERICA

State Registrations and Notice Filings

Exams

Series 63

Date: 7/24/1984

Series 7

Date: 2/15/1986

Series 6

Date: 2/15/1985

Series 22

Date: 7/25/1984

Current Firm

UNITED ADVISORS AMERICA

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UNITED ADVISORS AMERICA

TRUST BUT VERIFY

Similar Advisors