GD
George D. Dougherty
VOYA FINANCIAL ADVISORS
Niagara Falls, NY
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CRD#: 4193502
GD
Professional summary
George Daniel Dougherty III, CIMA®, who also goes by George D Dougherty III, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Niagara Falls, New York.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. George has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
George D Dougherty Iii
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.
NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 9807 PORTER RD APT 105; NIAGARA FALLS; NY; 14304; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 2/1/2010; 15; 3; SALE OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:INTEGRITY FINANCIAL SERVICES (IFS); Yes; 6225 SHERIDAN DR STE 212; WILLIAMSVILLE; NY; 14221; FINANCIAL SERVICES/DBA; ASSOCIATE; 3/1/2011; 0; 0; MARKETING PURPOSE ONLY| GEOCAPITAL WEALTH MANAGEMENT, LLC POSITION: Owner/President NATURE: Investment Advisory and insurance services with Voya Financial Advisors as my Broker Dealer. INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 130 START DATE: 12/02/2022 ADDRESS: 9807 Porter Road, 105, Niagara Falls NY 14304, United States DESCRIPTION: Manage clients qualified and non-qualified investmemnts and provide insurance products as needed.
CRS (Client Relationship Summary) - RIA
Click below to view George Daniel Dougherty III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George Daniel Dougherty III's 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®
Experience
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #2: 6225 Sheridan Drive Suite 212, Williamsville, NY 14221RIA
BD
CRD#: 2882
Niagara Falls, NY
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #2: 6225 Sheridan Drive Suite 212, Williamsville, NY 14221RIA
BD
CRD#: 2882
Niagara Falls, NY
Past
July 27, 2009 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
ROCHESTER, NY
Past
July 27, 2009 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
September 10, 2002 - July 30, 2009
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
LATHAM, NY
Past
October 18, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
October 18, 2001 - July 30, 2009
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
LATHAM, NY
Past
April 24, 2001 - April 25, 2001
M&T SECURITIES, INC.
BD
CRD#: 17358
BALTIMORE, MD
Past
August 4, 2000 - April 6, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
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
RR
Arizona(1/3/2019)
RR
California(1/8/2018)
RR
Colorado(8/21/2025)
RR
Florida(10/19/2011)
RR
Georgia(9/11/2019)
RR
Kentucky(3/2/2023)
RR
Maine(1/3/2017)
RR
Maryland(11/27/2024)
RR
Massachusetts(1/2/2015)
RR
Michigan(4/18/2011)
RR
Minnesota(6/3/2025)
RR
New Hampshire(10/8/2024)
RR
New York(1/3/2011)
IAR
New York(5/13/2021)
RR
North Carolina(8/21/2025)
RR
Oregon(6/30/2023)
RR
South Carolina(12/3/2024)
RR
Tennessee(2/16/2021)
RR
Virginia(8/21/2025)
RR
Washington(8/21/2025)
RR
Wisconsin(6/10/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
