Sean M. Dougherty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sean M Dougherty was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2008. Sean had worked at 6 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2013 - March 4, 2014
B. RILEY SECURITIES, INC.
August 6, 2013 - October 24, 2013
FM PARTNERS HOLDINGS LLC
March 1, 2011 - July 29, 2013
UBS FINANCIAL SERVICES INC.
July 12, 2010 - February 24, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 10, 2010 - February 24, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 16, 2010 - July 20, 2010
THOMAS WEISEL PARTNERS LLC
February 16, 2010 - July 20, 2010
THOMAS WEISEL PARTNERS LLC
November 21, 2008 - July 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2008 - July 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
