Sean P. 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.
Sean Patrick Dougherty, who also goes by Sean Patrick Daugherty, Sean Patrick Dougherty Mr., was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1997. Sean had worked at 5 firms and has passed the Series 63, 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
November 15, 2011 - December 12, 2013
WHITE OAK MERCHANT PARTNERS LLC
September 17, 2009 - October 25, 2011
BTIG, LLC
April 20, 2007 - March 27, 2008
MORGAN STANLEY & CO. LLC
March 17, 1998 - September 21, 1999
J.P. MORGAN SECURITIES LLC
December 24, 1997 - February 4, 1998
UBS FINANCIAL SERVICES INC.
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
WHITE OAK MERCHANT PARTNERS LLC
CRD#: 140142 / SEC#: , 8-67283
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
