Casey W. 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.
Casey William Dougherty was a registered financial professional .
Casey is a previously registered financial professional and started their career in finance in 1999. Casey had worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14 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
July 3, 2023 - January 18, 2024
FINANCIAL SECURITY MANAGEMENT, INCORPORATED
August 5, 2020 - January 25, 2023
M FINANCIAL ASSET MANAGEMENT, INC.
May 11, 2020 - January 25, 2023
M HOLDINGS SECURITIES, INC.
May 7, 2020 - January 25, 2023
M HOLDINGS SECURITIES, INC.
May 7, 2020 - January 25, 2023
M FINANCIAL SECURITIES MARKETING, INC.
December 9, 2010 - May 11, 2020
KMS FINANCIAL SERVICES, INC.
February 9, 2000 - May 11, 2020
KMS FINANCIAL SERVICES, INC.
October 4, 1999 - February 17, 2000
WOODBURY 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FINANCIAL SECURITY MANAGEMENT, INCORPORATED
CRD#: 43000 / SEC#: , 8-50094
Contact information
FINRA licenses (47 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SECURITY COMPANIES, LLC | OWNER | |
| BLACHURA, GAYLE ELIZABETH | PRESIDENT | 2874363 |
| CORINALDI, REGINALD CURTIS | VICE PRESIDENT | 1054108 |
| DEJARNETTE, KRISTY ELEY | COO, PFO, POO, FINOP | 7632290 |
| JENKS, CHARLES FREDERICK JR | VICE PRESIDENT | 1486892 |
| MEGGINSON, ARCHIE RAY SR | SECRETARY | 1479442 |
| ORLANDO, JOHN THOMAS | VICE PRESIDENT | 2692207 |
| SCHWALJE, GLENN SCOTT | CHIEF COMPLIANCE OFFICER / AMLCO | 2441501 |
| WOODALL, RICHARD DUNCAN | VICE PRESIDENT | 716996 |
Disclosures
| Regulatory Event | 1 |
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.
