TD
Thomas K. Dougherty
CETERA INVESTMENT ADVISERS LLC
HUNTINGTON STATION, NY
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CRD#: 1745868
TD
Professional summary
Thomas Kevin Dougherty is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Huntington Station, New York and CETERA WEALTH SERVICES, LLC located in Huntington Station, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
1. NAME OF ENTITY: Blue Chip Financial; Yes; 200 BROADHOLLOW RD STE 207 MELVILLE; MELVILLE; NY; 11747; financial services; owner; 9/8/2003; 160; 160; sales of insurance and securities products; 2. NAME OF ENTITY: JAF Associates; No; 100 Merrick Rd STE 526 West; Rockville Centre; NY; 11570; property and casualty insurance agency; Risk Manager; 7/1/2012; 100; 100; help clients manage risk; 3. NAME OF OTHER BUSINESS: ANCIENT ORDER OF HIBERNIAN; INVESTMENT RELATED: 1/2021; ADDRESS: 1 MILL DAM RD, HUNTINGTON, NY 11743; NATURE OF BUSINESS: CHARITABLE ORGANIZATION; START DATE: 1/2021; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: HELP GUIDE THE ORGANIZATION IN A POSITIVE WAY TO ACCOMPLISH ITS CHARITABLE MISSION; 4. NAME OF OTHER BUSINESS: THE SPIRT OF HUNTINGTON ART CENTER; INVESTMENT RELATED: NO; ADDRESS: 2 MELVILLE RD, HUNTINGTON STATION, NY 11746; NATURE OF BUSINESS: BOARD; START DATE: 6/2025; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REVIEW THE BUDGET EXPENSES & INCOME; 5. NAME OF OTHER BUSINESS: LIEG; INVESTMENT RELATED: NO; ADDRESS: 185 PRICE PKWY FARMINGDALE, NY 11735; NATURE OF BUSINESS: BUSINESS NETWORKING GROUP; START DATE: 01/2020; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ENSURE ANNUAL DUES ARE PAID, ARRANGE OUTSIDE ACTIVITIES, ORDER FOOD FOR MEETINGS, FACILITATE THE TAX RETURNS PREPARED BY THE CPA ;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Kevin 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 200 Broadhollow Rd Ste 207, Melville, NY 11747RIA
CRD#: 105644
HUNTINGTON STATION, NY
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 200 Broadhollow Rd Ste 207, Melville, NY 11747BD
CRD#: 13572
HUNTINGTON STATION, NY
Past
August 4, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 4, 2003 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
HUNTINGTON STATION, NY
Past
May 4, 2001 - September 8, 2003
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
March 9, 1993 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
March 9, 1993 - May 30, 2001
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
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
RR
Connecticut(4/5/2023)
RR
Florida(6/10/2021)
RR
New York(6/9/2021)
IAR
New York(6/29/2023)
RR
North Carolina(10/7/2021)
RR
South Carolina(6/9/2021)
RR
Virginia(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
