Christopher D. Dougherty
Professional summary
Christopher David Dougherty was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Christopher had worked at 9 firms, which includes COPPELL ADVISORY SOLUTIONS LLC, C & N WEALTH MANAGEMENT, B & C WEALTH MANAGEMENT, OSAIC SERVICES INC., SENTRA SECURITIES CORPORATION, LPL FINANCIAL LLC, VALIC FINANCIAL ADVISORS INC., WMA SECURITIES INC., THE VARIABLE ANNUITY MARKETING COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2013 - November 24, 2017
COPPELL ADVISORY SOLUTIONS LLC
September 27, 2012 - June 21, 2018
C & N WEALTH MANAGEMENT
May 6, 2008 - August 22, 2011
B & C WEALTH MANAGEMENT
May 5, 2008 - July 20, 2012
OSAIC SERVICES, INC.
October 31, 2005 - July 20, 2012
OSAIC SERVICES, INC.
November 6, 2003 - October 31, 2005
SENTRA SECURITIES CORPORATION
August 7, 2002 - November 7, 2003
LPL FINANCIAL LLC
August 7, 2002 - November 7, 2003
LPL FINANCIAL LLC
January 1, 1999 - August 28, 2002
VALIC FINANCIAL ADVISORS, INC.
April 16, 1998 - December 31, 1998
WMA SECURITIES, INC.
April 16, 1998 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
COPPELL ADVISORY SOLUTIONS LLC
CRD#: 156549 / SEC#: 801-72171
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
COPPELL ADVISORY SOLUTIONS LLC
CRD#: 156549 / SEC#: 801-72171
Contact information
SEC notice filing (50 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,334 |
| AUM (Assets Under Management) | $ 1,077,958,560 |
Red Flags
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