Joseph P. 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.
Joseph Patrick Dougherty, who also goes by Joe Dougherty, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 16 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2015 - November 20, 2017
GRIFFIN CAPITAL SECURITIES, LLC
January 2, 2013 - June 9, 2015
VOYA FINANCIAL ADVISORS, INC.
January 17, 2012 - March 16, 2012
KBR CAPITAL MARKETS, LLC
July 19, 2010 - August 24, 2011
FS INVESTMENT SOLUTIONS, LLC
March 11, 2004 - July 12, 2010
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
March 14, 2000 - December 2, 2003
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 18, 1996 - February 18, 2000
GUARDIAN INVESTOR SERVICES LLC
November 5, 1993 - March 31, 1995
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
August 14, 1992 - December 31, 1992
F & G SECURITIES, INC.
March 19, 1992 - August 10, 1992
GLOBAL ATLANTIC DISTRIBUTORS, LLC
June 5, 1990 - November 19, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
February 14, 1990 - June 12, 1990
MERRIMAN CAPITAL, INC.
October 18, 1989 - December 12, 1989
FSC SECURITIES CORPORATION
January 13, 1988 - March 8, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
August 5, 1987 - December 21, 1987
AMERICAN CAPITAL EQUITIES, INC.
July 22, 1987 - August 10, 1987
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GRIFFIN CAPITAL SECURITIES, LLC
CRD#: 37739 / SEC#: , 8-47891
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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