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WD

William J. Dougherty

MAIN STREET FINANCIAL SOLUTIONS
AMBLER, PA
Some features on this profile are disabled
CRD#: 3201456
WD

Professional summary

William Joseph Dougherty, CFP®, who also goes by Bill Dougherty, William J Dougherty, William Joseph Dougherty, is a registered financial advisor currently at MAIN STREET FINANCIAL SOLUTIONS, LLC located in Ambler, Pennsylvania.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. William has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bill Dougherty | William J Dougherty | William Joseph Dougherty

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.
AS OF 01/01/2014- OBAM REALTY GROUP LLC; NON INVESTMENT-RELATED; LAFAYETTE HILL, PA; APPROXIMATELY 1 HOUR EACH MONTH; 0 HOURS DEVOTED DURING SECURITIES TRADING HOURS; PARTNER, 20% OWNER IN LLC; BUYING, SELLING AND RENTING RESIDENTIAL PROPERTIES FOR INVESTMENT. MAIN RESPONSIBILITY INCLUDES FINANCES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Joseph 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®
CFP®

Certified Financial Planner

Start date: 2021

Experience

Current

August 9, 2021 - Present

MAIN STREET FINANCIAL SOLUTIONS, LLC

RIA
CRD#: 305834
AMBLER, PA
Past

January 23, 2015 - July 28, 2021

HARTFORD FUNDS

RIA
CRD#: 147746
Ambler, PA
Past

October 4, 2013 - December 31, 2014

HARTFORD FUNDS

RIA
CRD#: 147746
RADNOR, PA
Past

December 3, 2012 - July 28, 2021

HARTFORD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45995
Ambler, PA
Past

February 3, 2009 - December 3, 2012

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
RADNOR, PA
Past

March 19, 2008 - November 6, 2008

CHARTWELL INVESTMENT PARTNERS

RIA
CRD#: 106157
BERWYN, PA
Past

September 29, 2005 - May 15, 2007

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
RADNOR, PA
Past

September 27, 2005 - May 15, 2007

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
RADNOR, PA
Past

September 9, 2002 - September 20, 2005

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RIA
CRD#: 145
PHILADELPHIA, PA
Past

December 31, 2000 - September 20, 2005

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

June 9, 1999 - December 31, 2000

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
PHILADELPHIA, PA

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".
MS
MAIN STREET FINANCIAL SOLUTIONS, LLC
ARSENAL CAPITAL ADVISORS | TWIN LIGHTS WEALTH MANAGEMENT | THIN BLUE LINE FINANCIAL | MASS FINANCIAL MANAGEMENT | MAIN STREET FINANCIAL SOLUTIONS, LLC | LIVINGWORTH WEALTH ADVISORS | LEGACY CAPITAL | JUNO WEALTH MANAGEMENT | JJM FINANCIAL GROUP | GENCAPITAL ADVISORY PARTNERS | EXITFOUR WEALTH PARTNERS | COLLABORATIVE WEALTH ADVISORY | CLOVERLY WEALTH MANAGEMENT

CRD#: 305834 / SEC#: 801-117871

RIA
Registered Investment Advisory firm - (1/2/2020 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Pennsylvania
(8/9/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/31/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/19/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/21/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/4/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/8/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/28/2016
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/30/2010
Investment Company Products/Variable Contracts Principal Examination

Current Firm

MS
MAIN STREET FINANCIAL SOLUTIONS, LLC
ARSENAL CAPITAL ADVISORS | TWIN LIGHTS WEALTH MANAGEMENT | THIN BLUE LINE FINANCIAL | MASS FINANCIAL MANAGEMENT | MAIN STREET FINANCIAL SOLUTIONS, LLC | LIVINGWORTH WEALTH ADVISORS | LEGACY CAPITAL | JUNO WEALTH MANAGEMENT | JJM FINANCIAL GROUP | GENCAPITAL ADVISORY PARTNERS | EXITFOUR WEALTH PARTNERS | COLLABORATIVE WEALTH ADVISORY | CLOVERLY WEALTH MANAGEMENT

CRD#: 305834 / SEC#: 801-117871

RIA
Registered Investment Advisory firm - (1/2/2020 Approved)
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Contact information

Main Address
503 E. Washington Avenue Suite 1c, Newtown, PA 18940
Mailing Address
Phone number
(215) 259-5021
Established
Firm type
Fiscal year end
# of Employees
41

SEC notice filing (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts6,091
AUM (Assets Under Management)$ 2,494,613,000

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.

Company Information

MAIN STREET FINANCIAL SOLUTIONS, LLC

CRD#: 305834Ambler, PA

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