Michael J. Dougherty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael John Dougherty, who also goes by Mike Dougherty, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2015 - January 3, 2020
INDEPENDENT FINANCIAL GROUP, LLC
November 20, 2014 - December 31, 2014
SECURITIES MONITORING GROUP, LLC
October 5, 2012 - January 2, 2020
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
February 11, 2011 - December 31, 2011
INDEPENDENT FINANCIAL GROUP, LLC
February 11, 2011 - January 3, 2020
INDEPENDENT FINANCIAL GROUP, LLC
July 29, 2003 - November 12, 2014
SECURITIES MONITORING GROUP, LLC
July 5, 2001 - February 11, 2011
QA3 FINANCIAL CORP.
October 11, 1995 - July 5, 2001
OSAIC WEALTH, INC.
April 5, 1994 - October 25, 1995
IDS LIFE INSURANCE COMPANY
April 5, 1994 - October 25, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
