Denis P. Doherty

FEDERATED INVESTMENT COUNSELING

PITTSBURGH, PA 15222-3779

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CRD#: 2293268

Professional summary

Denis Patrick Doherty is a registered financial advisor currently at FEDERATED INVESTMENT COUNSELING located in Pittsburgh, Pennsylvania.

Denis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Denis has worked at 6 firms and has passed the Series 63, Series 65 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denis Patrick Doherty's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 17, 2005 - Present

FEDERATED INVESTMENT COUNSELING

Office #1: 1001 Liberty Avenue, Pittsburgh, PA 15222-3779

RIA

CRD#: 105325

PITTSBURGH, PA

Past

February 3, 2006 - June 2, 2006

FEDERATED SECURITIES CORP.

CRD#: 5009

PITTSBURGH, PA

Past

February 26, 2004 - May 16, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 22, 2003 - March 9, 2004

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

November 18, 1994 - April 11, 2003

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

July 31, 1993 - April 11, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 20, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

FEDERATED INVESTMENT COUNSELING

FEDERATED HERMES CW HENDERSON DIVISION | FEDERATED INVESTMENT COUNSELING (INCLUDING ITS FEDERATED HERMES CW HENDERSON DIVISION) | FEDERATED INVESTMENT COUNSELING | FEDERATED HERMES CW HENDERSON, A DIVISION OF FEDERATED INVESTMENT COUNSELING

CRD#: 105325 / SEC#: 801-34611

RIA

Registered Investment Advisory firm - (6/12/1989 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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(6/17/2005)

IAR

Puerto Rico
(1/2/2008)

IAR

Texas
(6/17/2005)

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.

Exams

State Security Law Exam

Series 63

Date: 10/19/1994

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/8/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 12/9/1992

General Securities Representative Examination

Current Firm

FEDERATED INVESTMENT COUNSELING

CRD#: 105325 / SEC#: 801-34611

RIA

Registered Investment Advisory firm - (6/12/1989 Approved)

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Contact information

Main Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Mailing Address

Phone number

(412) 288-1900

Established

Firm type

Fiscal year end

# of Employees

213

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIC SUMMARY OF CHANGES (3/14/2025)

2025 FIC FORM ADV PART 2 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	8,579
AUM (Assets Under Management)	$ 199,641,239,415

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/11/2023	Cover Page	Report
07/29/2022	Cover Page	Report

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.

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Denis P. Doherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denis Patrick Doherty's CRS (Customer Relationship Summary).

Certified licenses

Experience

FEDERATED SECURITIES CORP.

MORGAN STANLEY DW INC.

MORGAN STANLEY & CO. LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

FEDERATED INVESTMENT COUNSELING

State Registrations and Notice Filings

Exams

Series 63

Date: 10/19/1994

Series 65

Date: 2/8/1993

Series 7

Date: 12/9/1992

Current Firm

FEDERATED INVESTMENT COUNSELING

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FEDERATED INVESTMENT COUNSELING

TRUST BUT VERIFY

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