Richard A. Dougherty

UNITING WEALTH PARTNERS

Rochester, NY 14618

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CRD#: 5271824

Professional summary

Richard A Dougherty, AIF®, CFP®, who also goes by Rick Dougherty, is a registered financial advisor currently at UNITING WEALTH PARTNERS located in Rochester, New York.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Richard has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Dougherty

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.

1) Licensed insurance agent; Investment-related; Same address; Insurance sales; Implementation of insurance recommendations; Approx. 10% of time during the month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard A 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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

June 25, 2025 - Present

UNITING WEALTH PARTNERS

Office #1: 1441 Monroe Ave, Rochester, NY 14618

RIA

CRD#: 332317

Rochester, NY

Past

April 14, 2023 - June 30, 2025

NAVITER WEALTH, LLC

RIA

CRD#: 311508

ROCHESTER, NY

Past

March 3, 2009 - April 26, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Rochester, NY

Past

July 30, 2008 - April 26, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Rochester, 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".

UNITING WEALTH PARTNERS

UNITING WEALTH PARTNERS | UNITING WEALTH PARTNERS LLC

CRD#: 332317 / SEC#: 801-131215

RIA

Registered Investment Advisory firm - (9/27/2024 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.

Highlighted states indicate IAR registrations

IAR

New York
(6/25/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/29/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/29/2008

General Securities Representative Examination

Current Firm

UNITING WEALTH PARTNERS

UNITING WEALTH PARTNERS | UNITING WEALTH PARTNERS LLC

CRD#: 332317 / SEC#: 801-131215

RIA

Registered Investment Advisory firm - (9/27/2024 Approved)

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Contact information

Main Address

240 Saint Paul Street Suite 300, Denver, CO 80206

Mailing Address

Phone number

(479) 364-0686

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UWP ADV 2A (8/20/2025)

Regulatory assets under management

Total Number of Accounts	1,334
AUM (Assets Under Management)	$ 544,715,574

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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Richard A. Dougherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard A Dougherty's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITING WEALTH PARTNERS

NAVITER WEALTH, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

Primary Firm SEC Registration

UNITING WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/29/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/29/2008

Current Firm

UNITING WEALTH PARTNERS

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UNITING WEALTH PARTNERS

TRUST BUT VERIFY

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