Brian Doughney
CFP®Professional Summary
Brian Doughney, CFP®, who also goes by Brian John Doughney, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Oradell, New Jersey. Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 14 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 10, Series 9, Series 4 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Biography
A goal based, hands on Chartered Financial Analyst<sup>®</sup> and Certified Financial Planner<sup>®</sup> with experience in retirement, estate planning considerations, tax smart investing and asset allocation.
Other Aliases
Brian John Doughney
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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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.
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Credentials
Years of Experience
32 years in the financial services industry
Current & Past Employments
Education
University of Phoenix
Finance, Bachelor of Science (BS)
Finance, Bachelor of Science (BS)
2008
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Current Firm
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
Contact Information
Main Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411Phone Number
(319) 393-9541Established
Iowa since 11/14/1997Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
94SEC notice filing (44 States and Territories)
Registered to provide investment advisory services in 44 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 44 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
10,535AUM (Assets Under Management)
$4,771,466,316Disclosures
Arbitration
1Bond
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/28/2026 | Cover Page | Report |
| 11/26/2025 | Cover Page | Report |
| 09/26/2024 | Cover Page | Report |
| 11/22/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
(8/11/2025)
(10/9/2025)
(8/11/2025)
(8/11/2025)
(8/11/2025)
(10/9/2025)
(8/11/2025)
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 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 2016About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jun 2016About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Mar 1999SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Brian Doughney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Doughney's CRS (Customer Relationship Summary).
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