Saul D. Santoscoy-dougherty

ORCHARD SECURITIES

Solana Beach, CA 92075

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CRD#: 3269304

Professional summary

Saul Damien Santoscoy-dougherty, who also goes by Saul Dougherty, Saul Damien Santoscoydougherty, is a registered financial professional currently at ORCHARD SECURITIES, LLC located in Solana Beach, California.

Saul is registered as a RR (Registered Representative) and started their career in finance in 1999. Saul has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Saul Dougherty | Saul Damien Santoscoydougherty

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 Saul Damien Santoscoy-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

May 8, 2014 - Present

ORCHARD SECURITIES, LLC

Office #1: 514 Via De La Valle Suite 300-b, Solana Beach, CA 92075

CRD#: 133378

Solana Beach, CA

Past

December 17, 2012 - April 30, 2014

P.J. ROBB VARIABLE, LLC

CRD#: 38339

MEMPHIS, TN

Past

January 22, 2010 - December 31, 2010

OMNI BROKERAGE, INC.

CRD#: 16878

SOUTH JORDAN, UT

Past

January 2, 2009 - January 21, 2010

ORCHARD SECURITIES, LLC

CRD#: 133378

PLEASANT GROVE, UT

Past

January 12, 2007 - May 20, 2008

K-ONE INVESTMENT COMPANY, INC.

CRD#: 16156

FORT SMITH, AR

Past

March 11, 2002 - February 9, 2006

LIBERTY LIFE DISTRIBUTORS LLC

CRD#: 46074

DOVER, NH

Past

January 2, 2001 - May 1, 2001

SCUDDER WEISEL CAPITAL, LLC

CRD#: 104088

SAN FRANCISCO, CA

Past

September 13, 1999 - December 13, 2000

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, 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

Arizona
(5/21/2014)

California
(5/8/2014)

Hawaii
(5/23/2014)

Nevada
(5/20/2014)

New Mexico
(5/15/2014)

Utah
(6/11/2014)

Exams

State Security Law Exam

Series 63

Date: 3/31/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/7/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/10/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ORCHARD SECURITIES, LLC

JOSEPH CAMERON | ORCHARD SECURITIES, LLC | JOSEPH CAMERON, LLC | JOSEPH CAMERON LLC

CRD#: 133378 / SEC#: , 8-66719

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

365 Garden Grove Lane Suite 100, Pleasant Grove, UT 84062

Mailing Address

365 Garden Grove Lane Suite 100, Pleasant Grove, UT 84062

Phone number

(801) 316-4301

Established

Utah since 09/27/2005

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CREEKSIDE LAND DEVELOPMENT, LLC	MEMBER
FAR VISIONS, LLC	MEMBER
NORTH CANYON ENTERPRISES, LLC	MEMBER
TOTTENHAM INVESTMENTS, LLC	MEMBER
TRIPLE CROWN SECURITES, LLC	MEMBER
BADALAMENTI, CHARLES RICHARD	FINOP	2065038
BRADBURN, KEVIN CHRISTOPHER	MANAGER, CHIEF EXECUTIVE OFFICER	2718206
GARRETT, TAYLOR WESTON	PRESIDENT	4829547
HART, ADRIENNE YOST	CHIEF COMPLIANCE OFFICER	1510179

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

Saul D. Santoscoy-dougherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Saul Damien Santoscoy-dougherty's CRS (Customer Relationship Summary).

Certified licenses

Experience

P.J. ROBB VARIABLE, LLC

OMNI BROKERAGE, INC.

ORCHARD SECURITIES, LLC

K-ONE INVESTMENT COMPANY, INC.

LIBERTY LIFE DISTRIBUTORS LLC

SCUDDER WEISEL CAPITAL, LLC

COREBRIDGE CAPITAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/31/2000

SIE

Date: 10/1/2018

Series 7

Date: 9/7/2000

Series 6

Date: 9/10/1999

FINRA

Current Firm

ORCHARD SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ORCHARD SECURITIES, LLC

TRUST BUT VERIFY

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