Todd K. Dougherty

ATHENE SECURITIES

West Des Moines, IA 50266

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CRD#: 2536829

Professional summary

Todd Kirkman Dougherty, who also goes by Todd Kirkman Ferrell, is a registered financial professional currently at ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

Todd is registered as a RR (Registered Representative) and started their career in finance in 1994. Todd has worked at 10 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Todd Kirkman Ferrell

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) - BD

Click below to view Todd Kirkman Dougherty'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

January 27, 2020 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266

CRD#: 36867

West Des Moines, IA

Past

November 4, 2010 - October 25, 2019

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

January 1, 2007 - August 14, 2010

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

MINNEAPOLIS, MN

Past

September 15, 2004 - December 31, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 15, 2004 - January 1, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

November 10, 2003 - July 27, 2004

INTEGRITY FUNDS DISTRIBUTOR, LLC

CRD#: 26293

MINOT, ND

Past

April 24, 2001 - November 13, 2003

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

MINNEAPOLIS, MN

Past

October 11, 2000 - December 19, 2000

WILBANKS SECURITIES, INC.

CRD#: 40673

OKLAHOMA CITY, OK

Past

September 12, 2000 - October 10, 2000

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

September 20, 1994 - May 15, 1998

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Iowa
(1/30/2020)

Exams

State Security Law Exam

Series 63

Date: 5/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/19/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/16/2001

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

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

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Contact information

Main Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Mailing Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Phone number

(515) 342-4616

Established

Indiana since 04/21/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ATHENE USA CORPORATION	ATHENE SECURITIES, LLC
BATTERSON, CHAD M	PRESIDENT, COO, FINOP	4880009
BURTON, SHEILA SUE	CHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT III	VICE PRESIDENT	4605388
HUNT, ANGELA JEAN	COMPLIANCE OFFICER	7192588

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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Todd K. Dougherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Todd Kirkman Dougherty's CRS (Customer Relationship Summary).

Certified licenses

Experience

COREBRIDGE CAPITAL SERVICES, INC.

RIVERSOURCE DISTRIBUTORS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

INTEGRITY FUNDS DISTRIBUTOR, LLC

ALLIANZ LIFE FINANCIAL SERVICES, LLC

WILBANKS SECURITIES, INC.

NATIONAL PLANNING CORPORATION

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/17/1995

SIE

Date: 10/1/2018

Series 6

Date: 9/19/1994

Series 26

Date: 11/16/2001

FINRA

Current Firm

ATHENE SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ATHENE SECURITIES, LLC

TRUST BUT VERIFY

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