John Joseph Dougherty
Professional Summary
John Joseph Dougherty is a registered financial advisor currently at INGALLS INVESTMENT MANAGEMENT, LLC located in New York, New York and INGALLS & SNYDER, LLC located in New York, New York. John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. John has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Years of Experience
37 years in the financial services industry
Current & Past Employments
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Current Firm
2X WEALTH GROUP | STEWART ASSET MANAGEMENT TEAM | NOBSKA CAPITAL MANAGEMENT | INGALLS INVESTMENT MANAGEMENT, LLC | FUNDAMENTAL EQUITY ADVISORS | BRIDGEHAMPTON GROUP | 6TH AVENUE TEAM
Contact Information
Main Address
1 Rockefeller Plaza 7th Floor, New York, NY 10020Phone Number
(212) 269-7800# of Employees
50SEC notice filing (48 States and Territories)
Registered to provide investment advisory services in 48 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
4,453AUM (Assets Under Management)
$7,826,602,578Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
Primary Firm SEC Registration
2X WEALTH GROUP | STEWART ASSET MANAGEMENT TEAM | NOBSKA CAPITAL MANAGEMENT | INGALLS INVESTMENT MANAGEMENT, LLC | FUNDAMENTAL EQUITY ADVISORS | BRIDGEHAMPTON GROUP | 6TH AVENUE TEAM
State Registrations and Notice Filings
(9/27/2002)
(6/8/1992)
(2/10/2017)
(1/17/2020)
(6/8/1992)
(5/12/1998)
(5/13/1993)
(1/3/2005)
(8/10/2026)
(1/18/2008)
(9/7/1995)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
CRS (Client Relationship Summary) - RIA
Click below to view John Joseph Dougherty's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MORGAN STANLEY
