Brian C. Dougherty

PLC INVESTMENT SOLUTIONS

PHILADELPHIA, PA 19128

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CRD#: 2299402

Professional summary

Brian Charles Dougherty is a registered financial advisor currently at PLC INVESTMENT SOLUTIONS, LLC located in Philadelphia, Pennsylvania.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Brian has worked at 5 firms and has passed the Series 65, Series 63 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.

licensed insurance agent. VP and Treasurer of several non-profits

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Charles 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®

None

Experience

Current

May 21, 2024 - Present

PLC INVESTMENT SOLUTIONS, LLC

Office #1: 214 Osborn St, Philadelphia, PA 19128

RIA

CRD#: 330114

PHILADELPHIA, PA

Past

December 18, 2020 - August 19, 2024

COPPELL ADVISORY SOLUTIONS LLC

RIA

CRD#: 156549

Philadelphia, PA

Past

November 26, 2019 - December 31, 2020

ELITE INVESTMENT TEAM LLC

RIA

CRD#: 296922

Fort Washington, PA

Past

June 26, 2017 - December 19, 2019

THRIVE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 281347

FORT WASHINGTON, PA

Past

March 15, 1993 - May 3, 1994

PFS INVESTMENTS INC.

CRD#: 10111

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
(5/21/2024)

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

IAR

Series 65

Date: 4/6/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/11/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/11/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PLC INVESTMENT SOLUTIONS, LLC

CRD#: 330114 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (5/20/2024 Approved)

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Contact information

Main Address

Philadelphia, PA

Mailing Address

Phone number

(215) 804-9708

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	68
AUM (Assets Under Management)	$ 5,608,836

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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Brian C. Dougherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Charles Dougherty's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLC INVESTMENT SOLUTIONS, LLC

COPPELL ADVISORY SOLUTIONS LLC

ELITE INVESTMENT TEAM LLC

THRIVE CAPITAL MANAGEMENT, LLC

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/6/2017

Series 63

Date: 2/11/1993

Series 6

Date: 3/11/1993

Current Firm

PLC INVESTMENT SOLUTIONS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PLC INVESTMENT SOLUTIONS, LLC

TRUST BUT VERIFY

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