Jennifer D. Dougherty

BROADWEALTH LLC

Winchester, MA

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CRD#: 5450445

Professional summary

Jennifer Dowling Dougherty, who also goes by Jennifer Lynn Dowling, is a registered financial advisor currently at BROADWEALTH LLC located in Winchester, Massachusetts.

Jennifer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Jennifer has worked at 3 firms and has passed the Series 65, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jennifer Lynn Dowling

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jennifer Dowling 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®

None

Experience

Current

August 21, 2019 - Present

BROADWEALTH LLC

RIA

CRD#: 304356

Winchester, MA

Past

October 6, 2014 - October 3, 2018

BALLENTINE PARTNERS

RIA

CRD#: 152802

WALTHAM, MA

Past

February 21, 2008 - September 30, 2014

U. S. BOSTON CAPITAL CORPORATION

CRD#: 5251

LINCOLN, MA

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".

BROADWEALTH LLC

CRD#: 304356 / SEC#: 801-129388

RIA

Registered Investment Advisory firm - (1/19/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (1/22/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Massachusetts
(8/21/2019)

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 65

Date: 11/12/2010

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 2/13/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/21/2011

General Securities Principal Examination

Current Firm

BROADWEALTH LLC

CRD#: 304356 / SEC#: 801-129388

RIA

Registered Investment Advisory firm - (1/19/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (1/22/2024 Terminated)

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Contact information

Main Address

Winchester, MA

Mailing Address

Phone number

(617) 549-1990

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A & 2B (7/14/2025)

Regulatory assets under management

Total Number of Accounts	68
AUM (Assets Under Management)	$ 105,982,982

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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Jennifer D. Dougherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jennifer Dowling Dougherty's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROADWEALTH LLC

BALLENTINE PARTNERS

U. S. BOSTON CAPITAL CORPORATION

Primary Firm SEC Registration

BROADWEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2010

Series 7

Date: 2/13/2008

Series 24

Date: 1/21/2011

Current Firm

BROADWEALTH LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROADWEALTH LLC

TRUST BUT VERIFY

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