Mark Doughty

SPIRE WEALTH MANAGEMENT

Frederick, MD

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CRD#: 4654073

Professional summary

Mark Doughty, CFP®, who also goes by Mark Andrew Doughty, is a registered financial advisor currently at SPIRE WEALTH MANAGEMENT, LLC located in Frederick, Maryland and SPIRE SECURITIES, LLC located in Mclean, Virginia.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Mark has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Andrew Doughty

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.

INSURANCE AGENT, LICENSED FOR LIFE INSURANCE, HEALTH INSURANCE AND/OR ANNUITY LINES OF BUSINESS. INVESTMENT ADVISER REPRESENTATIVE OF SPIRE WEALTH MANAGEMENT, AN SEC RIA. (AFFILIATE)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Doughty'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

Experience

Current

October 25, 2018 - Present

SPIRE WEALTH MANAGEMENT, LLC

RIA

CRD#: 113908

Frederick, MD

Current

October 23, 2018 - Present

SPIRE SECURITIES, LLC

Office #1: 7901 Jones Branch Dr. Suite 810, Mclean, VA 22102

CRD#: 6321

MINNEAPOLIS, MN

Past

August 1, 2003 - March 21, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

SPIRE WEALTH MANAGEMENT, LLC

LEGACY ADVISORS, LLC | SPIRE WEALTH MANAGEMENT, LLC

CRD#: 113908 / SEC#: 801-60468

RIA

Registered Investment Advisory firm - (8/17/2001 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.

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

Maryland
(5/2/2019)

IAR

Maryland
(9/22/2021)

Texas
(5/2/2022)

Virginia
(10/25/2018)

IAR

Virginia
(10/25/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/11/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/31/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SPIRE WEALTH MANAGEMENT, LLC

LEGACY ADVISORS, LLC | SPIRE WEALTH MANAGEMENT, LLC

CRD#: 113908 / SEC#: 801-60468

RIA

Registered Investment Advisory firm - (8/17/2001 Approved)

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Contact information

Main Address

7901 Jones Branch Dr. Suite 810, Mclean, VA 22102

Mailing Address

7901 Jones Branch Drive Suite 800, Mclean, VA 22102

Phone number

(703) 657-6060

Established

Firm type

Fiscal year end

# of Employees

165

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 SPIRE WEALTH MANAGEMENT ADV 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts	15,808
AUM (Assets Under Management)	$ 4,617,171,037

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

Mark Doughty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Doughty's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPIRE SECURITIES, LLC

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SPIRE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/11/2003

SIE

Date: 8/9/2018

Series 7

Date: 7/31/2003

FINRA

Current Firm

SPIRE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPIRE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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