Brian J. Doughney

NATIONS FINANCIAL GROUP | Vice President, Wealth Planner

ORADELL, NJ

Some features on this profile are disabled

CRD#: 2440519

Professional summary

Brian John 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.

Biography

A goal based, hands on Chartered Financial Analyst® and Certified Financial Planner® with experience in retirement, estate planning considerations, tax smart investing and asset allocation. 

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian John Doughney

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.

Fortress Wealth Planning; It is investment related; 521 Hensler Lane Oradell, NJ 07649; DBA to offer investment and advisory services; Position is Owner; Start date is 08/11/2025; Approx. 160 hours per month devoted to other business; Approx. 160 hours per month devoted to other business during security trading hours; Duties include to provide investment and advisory services to clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian John Doughney's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Brian John Doughney'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®

CFP^®

Certified Financial Planner

Education

University of Phoenix

Bachelor of Science (BS) - Finance

2008

Experience

Current

August 11, 2025 - Present

NATIONS FINANCIAL GROUP, INC.

RIA

CRD#: 44181

ORADELL, NJ

Current

August 11, 2025 - Present

NATIONS FINANCIAL GROUP, INC.

RIA

CRD#: 44181

ORADELL, NJ

Past

March 31, 2025 - August 25, 2025

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

NEW YORK, NY

Past

July 13, 2018 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

NEW YORK, NY

Past

June 16, 2016 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

JERSEY CITY, NJ

Past

March 11, 2016 - August 25, 2025

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

NEW YORK, NY

Past

February 14, 2007 - July 9, 2012

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA

CRD#: 110921

LYNDHURST, NJ

Past

September 19, 2005 - November 2, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

September 14, 2005 - November 2, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

August 10, 2004 - March 15, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

September 13, 2002 - August 25, 2004

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

May 24, 1999 - July 10, 2002

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

February 4, 1998 - May 20, 1999

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 30, 1997 - December 31, 1997

FIRST UNITED EQUITIES CORPORATION

CRD#: 36398

NEW YORK, NY

Past

November 29, 1995 - September 16, 1997

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 20, 1995 - June 7, 1995

DUKE & CO., INC.

CRD#: 8035

NEW YORK, NY

Past

June 8, 1994 - February 9, 1995

D. H. BLAIR & CO., INC.

CRD#: 6833

NEW YORK, NY

Past

March 26, 1994 - May 10, 1994

GRUNTAL & CO., L.L.C.

CRD#: 372

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".

NATIONS FINANCIAL GROUP, INC.

FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.

CRD#: 44181 / SEC#: 801-57407, 8-50588

RIA

Registered Investment Advisory firm - SEC (5/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(8/11/2025)

Florida
(10/9/2025)

New Jersey
(8/11/2025)

IAR

New Jersey
(8/11/2025)

New York
(8/11/2025)

Pennsylvania
(10/9/2025)

Virginia
(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

State Security Law Exam

Series 63

Date: 4/8/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/30/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/11/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/23/2016

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/17/2016

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 7/10/2003

Registered Options Principal Examination

Principal/Supervisory Exam

Series 8

Date: 3/30/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

NATIONS FINANCIAL GROUP, INC.

FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.

CRD#: 44181 / SEC#: 801-57407, 8-50588

RIA

Registered Investment Advisory firm - SEC (5/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

Mailing Address

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

Phone number

(319) 393-9541

Established

Iowa since 11/14/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 33025 (3/26/2025)

WRAP BROCHURE 33025 (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
NFGI HOLDING CORPORATION	HOLDING CORPORATION
BENNETT, RICHARD SCOTT	CEO - CFO	858716
BJORSETH, ERIK JOHN	CHIEF GROWTH OFFICER	4404352
CAIRNEY, STEPHEN MICHAEL	PRESIDENT	3085019
KROUSIE, TRACEY LYNN	CHIEF OPERATIONS OFFICER	4475482
REIGHARD-KEAN, VICKI LIN	CHIEF COMPLIANCE OFFICER	4238486

Regulatory assets under management

Total Number of Accounts	9,822
AUM (Assets Under Management)	$ 3,867,522,560

Disclosures

Arbitration	1
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/26/2025	Cover Page	Report
09/26/2024	Cover Page	Report
11/22/2023	Cover Page	Report
12/28/2022	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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian J. Doughney

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian John Doughney's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brian John Doughney's CRS (Customer Relationship Summary).

Certified licenses

Education

University of Phoenix

Experience

NATIONS FINANCIAL GROUP, INC.

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

ERNST & YOUNG INVESTMENT ADVISERS LLP

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

HSBC BROKERAGE (USA) INC.

CITICORP INVESTMENT SERVICES

CHARLES SCHWAB & CO., INC.

FIRST UNITED EQUITIES CORPORATION

CHARLES SCHWAB & CO., INC.

DUKE & CO., INC.

D. H. BLAIR & CO., INC.

GRUNTAL & CO., L.L.C.

Primary Firm SEC Registration

NATIONS FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/8/2016

Series 66

Date: 4/30/2004

SIE

Date: 10/1/2018

Series 7

Date: 3/11/2016

Series 10

Date: 9/23/2016

Series 9

Date: 6/17/2016

Series 4

Date: 7/10/2003

Series 8

Date: 3/30/1999

FINRA

Current Firm

NATIONS FINANCIAL GROUP, INC.

Contact information

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

NATIONS FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors