Thomas P. Dougherty

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CRD#: 2564160

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.

Thomas Patrick Dougherty, who also goes by Tom Dougherty Jr, Thomas Patrick Dougherty Jr, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 16 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Dougherty Jr | Thomas Patrick Dougherty Jr

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 1, 2017 - August 2, 2018

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

Waxhaw, NC

Past

June 5, 2017 - July 24, 2017

FORESTERS EQUITY SERVICES, INC.

RIA

CRD#: 18464

CHARLOTTE, NC

Past

June 5, 2017 - July 24, 2017

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

December 8, 2016 - March 3, 2017

PRUCO SECURITIES, LLC.

CRD#: 5685

CHARLOTTE, NC

Past

February 19, 2013 - December 2, 2016

FORESTERS EQUITY SERVICES, INC.

RIA

CRD#: 18464

CHARLOTTE, NC

Past

November 7, 2011 - December 2, 2016

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

October 23, 2009 - November 4, 2011

EQUITY SERVICES, INC.

RIA

CRD#: 265

CHARLOTTE, NC

Past

October 23, 2009 - November 4, 2011

EQUITY SERVICES, INC.

CRD#: 265

CHARLOTTE, NC

Past

May 27, 2009 - September 29, 2009

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

CHARLOTTE, NC

Past

May 6, 2009 - September 29, 2009

PRINCIPAL SECURITIES, INC.

CRD#: 1137

CHARLOTTE, NC

Past

October 15, 2008 - May 15, 2009

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

CHAROLTTE, NC

Past

July 25, 2005 - October 17, 2008

EQUITY SERVICES, INC.

RIA

CRD#: 265

CHARLOTTE, NC

Past

March 16, 2005 - June 8, 2005

EQUITY SERVICES, INC.

RIA

CRD#: 265

CHARLOTTE, NC

Past

March 15, 2005 - October 17, 2008

EQUITY SERVICES, INC.

CRD#: 265

CHARLOTTE, NC

Past

January 3, 2005 - February 28, 2005

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

CHARLOTTE, NC

Past

January 3, 2005 - February 28, 2005

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

February 5, 2003 - January 3, 2005

NCF FINANCIAL SERVICES, INC.

RIA

CRD#: 120471

CHARLOTTE, NC

Past

October 8, 2002 - January 3, 2005

NCF FINANCIAL SERVICES, INC.

CRD#: 120471

DURHAM, NC

Past

August 16, 2002 - October 11, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 13, 2001 - August 1, 2002

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

April 5, 2000 - July 5, 2001

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

January 11, 1999 - April 12, 2000

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

April 8, 1998 - January 6, 1999

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

October 14, 1997 - April 4, 1998

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

April 18, 1996 - May 19, 1997

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 19002

CHARLOTTE, NC

Past

January 17, 1995 - January 26, 1996

VINING-SPARKS IBG, LLC

CRD#: 27502

MEMPHIS, TN

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".

SECURE INVESTMENT MANAGEMENT, LLC

CRD#: 141195 / SEC#: 801-80752

RIA

Registered Investment Advisory firm - (1/8/2015 Approved)

Arizona

Registered Investment Advisory firm - (1/8/2015 Terminated)

California

Registered Investment Advisory firm - (2/7/2015 Terminated)

Florida

Registered Investment Advisory firm - (9/15/2015 Terminated)

Nevada

Registered Investment Advisory firm - (2/26/2015 Terminated)

Tennessee

Registered Investment Advisory firm - (2/8/2015 Terminated)

Texas

Registered Investment Advisory firm - (1/8/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/8/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/16/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/19/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/24/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1995

General Securities Representative Examination

Current Firm

SECURE INVESTMENT MANAGEMENT, LLC

CRD#: 141195 / SEC#: 801-80752

RIA

Registered Investment Advisory firm - (1/8/2015 Approved)

Arizona

Registered Investment Advisory firm - (1/8/2015 Terminated)

California

Registered Investment Advisory firm - (2/7/2015 Terminated)

Florida

Registered Investment Advisory firm - (9/15/2015 Terminated)

Nevada

Registered Investment Advisory firm - (2/26/2015 Terminated)

Tennessee

Registered Investment Advisory firm - (2/8/2015 Terminated)

Texas

Registered Investment Advisory firm - (1/8/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/8/2015 Terminated)

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Contact information

Main Address

3067 W. Ina Road #125, Tucson, AZ 85741

Mailing Address

Phone number

(520) 333-4719

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	825
AUM (Assets Under Management)	$ 38,291,887

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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Advisor Monitoring

Firm Stability Insights

Thomas P. Dougherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESTERS EQUITY SERVICES, INC.

FORESTERS EQUITY SERVICES, INC.

PRUCO SECURITIES, LLC.

FORESTERS EQUITY SERVICES, INC.

FORESTERS EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

J.P. TURNER & COMPANY, L.L.C.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

NCF FINANCIAL SERVICES, INC.

NCF FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

BB&T INVESTMENT SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

INVEST FINANCIAL CORPORATION

EDWARD JONES

VERAVEST INVESTMENTS, INC.

FIRST UNION CAPITAL MARKETS CORP.

VINING-SPARKS IBG, LLC

Primary Firm SEC Registration

SECURE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/16/2002

Series 63

Date: 1/19/1995

SIE

Date: 7/24/2017

Series 7

Date: 1/16/1995

Current Firm

SECURE INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SECURE INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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