John M. Daugherty
Professional summary
John Michael Daugherty, who also goes by John M Daugherty, is a registered financial professional currently at CRAIG-HALLUM CAPITAL GROUP LLC located in Minneapolis, Minnesota.
John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Michael Daugherty's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 29, 2004 - Present
CRAIG-HALLUM CAPITAL GROUP LLC
Office #1: 323 N Washington Ave Suite 300, Minneapolis, MN 55401Office #2: 323 N Washington Ave Suite 300, Minneapolis, MN 55401January 17, 2001 - October 15, 2004
PIPER SANDLER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/29/2004)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/3/2001
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
CRAIG-HALLUM CAPITAL GROUP LLC
CRD#: 121395 / SEC#: , 8-65407
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
