DD
Daniel T. Dougherty
HORTER INVESTMENT MANAGEMENT
SPRINGFIELD, PA 19064
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CRD#: 1428113
DD
Professional summary
Daniel Thomas Dougherty, ChFC®, who also goes by Daniel Dougherty, is a registered financial advisor currently at HORTER INVESTMENT MANAGEMENT, LLC located in Springfield, Pennsylvania.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Daniel has worked at 10 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Dougherty
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.
Name of Business: Absolute Wealth Management, LLC Investment Related:Yes Address:1489 Baltimore Pike, Suite #213, Springfield PA 19064 Business Nature:Financial Planning My Position:Managing Partner Start Date: 04/2014 Hours Devoted:I devote approximately 50% of my business efforts per month focused on investment planning and the other 50% on insurance solutions. Hours devoted to other business during security trading hours: There is a 50/50 split between investment and insurance planning. Duties: My full time focus is spent developing an advisory practice offering insurance and money management services. One compliments the other. The Name of the other business: Fusematic Corporation Investment Related?: No Address of other business: 1605 Sawgrass Dr. SW, Palm Bay FL 32908 Nature of other business: A start up in the pre-revenue phase. Looking to manufacture a friction bonding tool Your position: Advisory Board Member Start Date: 11/1/2018 How many hours you devote to the other business per month: 10 How many hours you devote to the other business during securities trading hours: 2 Briefly describe your duties: Advisory position on sales and marketing ideas The Name of the other business: Prestige Strategies, LLC Investment Related?: Yes Address of other business: 13 Langhorne Road, Chalfont, PA 18914 Nature of other business: Offering Premium Financed Life Insurance Your position: Managing Partner Start Date: 12/1/2017 How many hours you devote to the other business per month: 40 How many hours you devote to the other business during securities trading hours: 20 Briefly describe your duties: Solicit individuals for premium finance Life Insurance coverage
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Thomas Dougherty's 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®
Experience
Current
February 6, 2014 - Present
HORTER INVESTMENT MANAGEMENT, LLC
Office #1: 1489 Baltimore Pike Suite 207, Springfield, PA 19064RIA
CRD#: 119880
SPRINGFIELD, PA
Past
June 27, 2007 - December 31, 2009
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
SPRINGFIELD, PA
Past
April 13, 2007 - December 31, 2009
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SPRINGFIELD, PA
Past
June 17, 2005 - April 3, 2007
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SPRINGFIELD, PA
Past
June 6, 2003 - April 7, 2004
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
December 22, 2000 - November 18, 2002
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 3, 1994 - December 8, 2000
AMERICAN CAPITAL CORPORATION
BD
CRD#: 16124
VALLEY FORGE, PA
Past
October 8, 1993 - May 16, 1994
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
May 14, 1992 - November 22, 1993
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
January 10, 1991 - December 23, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
November 27, 1985 - October 29, 1990
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
HI
HORTER INVESTMENT MANAGEMENT, LLC
ABSOLUTE WEALTH MANAGEMENT GROUP | WLEM FINANCIAL ADVISORS | WEALTH MAX FINANCIAL GROUP | TIDMORE FINANCIAL | STEPHEN DISSETTE & ASSOCIATES | SNYDER FINANCIAL, INC. | SAFE HARBOR FINANCIAL | ROADMAP FINANCIAL CONSULTING, LLC | PERLIN RETIREMENT SOLUTIONS | MARRA FINANCIAL GROUP | LIGHTFIELD WEALTH MANAGEMENT | LAMB CAPITAL, LLC | JENSEN FINANCIAL GROUP | HORTER, DREW KENT | HORTER INVESTMENT MANAGEMENT, LLC | HORTER INVESTMENT MANAGEMENT | HORTER FINANCIAL STRATEGIES, LLC | HORTER DREW KENT | HORTER ASSET MANAGEMENT | GEITGEY FINANCIAL SERVICES | GEFF LEWIS AND ASSOCIATES | GATLIN FINANCIAL SERVICES | FINANCIAL FREEDOM PARTNERS, LLC | DEFENSE FIRST FINANCIAL | CROIX RIVER WEALTH MANAGEMENT | CELTIC GUARD FINANCIAL PLANNING | APPLIED CONCEPTS FINANCIAL SERVICS
CRD#: 119880 / SEC#: 801-67471
RIA
Registered Investment Advisory firm - (1/12/2007 Approved)California
Registered Investment Advisory firm - (1/31/2007 Terminated)Delaware
Registered Investment Advisory firm - (4/23/2007 Terminated)Ohio
Registered Investment Advisory firm - (1/31/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (1/31/2007 Terminated)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
Pennsylvania(2/6/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
HI
HORTER INVESTMENT MANAGEMENT, LLC
ABSOLUTE WEALTH MANAGEMENT GROUP | WLEM FINANCIAL ADVISORS | WEALTH MAX FINANCIAL GROUP | TIDMORE FINANCIAL | STEPHEN DISSETTE & ASSOCIATES | SNYDER FINANCIAL, INC. | SAFE HARBOR FINANCIAL | ROADMAP FINANCIAL CONSULTING, LLC | PERLIN RETIREMENT SOLUTIONS | MARRA FINANCIAL GROUP | LIGHTFIELD WEALTH MANAGEMENT | LAMB CAPITAL, LLC | JENSEN FINANCIAL GROUP | HORTER, DREW KENT | HORTER INVESTMENT MANAGEMENT, LLC | HORTER INVESTMENT MANAGEMENT | HORTER FINANCIAL STRATEGIES, LLC | HORTER DREW KENT | HORTER ASSET MANAGEMENT | GEITGEY FINANCIAL SERVICES | GEFF LEWIS AND ASSOCIATES | GATLIN FINANCIAL SERVICES | FINANCIAL FREEDOM PARTNERS, LLC | DEFENSE FIRST FINANCIAL | CROIX RIVER WEALTH MANAGEMENT | CELTIC GUARD FINANCIAL PLANNING | APPLIED CONCEPTS FINANCIAL SERVICS
CRD#: 119880 / SEC#: 801-67471
RIA
Registered Investment Advisory firm - (1/12/2007 Approved)California
Registered Investment Advisory firm - (1/31/2007 Terminated)Delaware
Registered Investment Advisory firm - (4/23/2007 Terminated)Ohio
Registered Investment Advisory firm - (1/31/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (1/31/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11726 Seven Gables Rd Symmes Township, Cincinnati, OH 45249
Mailing Address
Phone number
(513) 984-9933
Established
Firm type
Fiscal year end
# of Employees
41
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,136 |
| AUM (Assets Under Management) | $ 277,989,460 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
