Dan Patrick Dougherty
Professional Summary
Dan Patrick Dougherty, who also goes by Dan Dougherty, is a registered financial advisor currently at EQUILEND located in New York, New York and AUTOMATED EQUITY FINANCE MARKETS, INC. located in New York, New York. Dan is registered as a RR (Registered Representative) and started their career in finance in 1999. Dan has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dan Dougherty
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
AUTOMATED EQUITY FINANCE MARKETS, INC. | EQUILEND CLEARING SERVICES (ECS)
Contact Information
Main Address
225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281Mailing Address
225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281Phone Number
(212) 901-2272Established
Delaware since 05/21/2007Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(2/20/2006)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Dan Patrick Dougherty's CRS (Customer Relationship Summary).
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