JD
Joseph P. Dougherty
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS
Boston, MA 02210
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CRD#: 5639573
JD
Professional summary
Joseph Patrick Dougherty, CFA is a registered financial professional currently at COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. located in Boston, Massachusetts.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2009. Joseph has worked at 2 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Joseph Patrick Dougherty'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
May 1, 2010 - Present
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
Office #1: 290 Congress St, Boston, MA 02210BD
CRD#: 840
Boston, MA
Past
April 1, 2009 - May 1, 2010
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(5/1/2010)
RR
Alaska(5/1/2010)
RR
Arizona(5/1/2010)
RR
Arkansas(5/1/2010)
RR
California(5/1/2010)
RR
Colorado(5/1/2010)
RR
Connecticut(5/1/2010)
RR
Delaware(5/1/2010)
RR
District of Columbia(5/1/2010)
RR
Florida(5/4/2010)
RR
Georgia(5/1/2010)
RR
Hawaii(5/1/2010)
RR
Idaho(5/1/2010)
RR
Illinois(5/1/2010)
RR
Indiana(5/1/2010)
RR
Iowa(5/1/2010)
RR
Kansas(5/1/2010)
RR
Kentucky(5/1/2010)
RR
Louisiana(5/1/2010)
RR
Maine(5/1/2010)
RR
Maryland(5/1/2010)
RR
Massachusetts(5/1/2010)
RR
Michigan(5/1/2010)
RR
Minnesota(5/1/2010)
RR
Mississippi(5/1/2010)
RR
Missouri(5/1/2010)
RR
Montana(5/1/2010)
RR
Nebraska(5/1/2010)
RR
Nevada(5/1/2010)
RR
New Hampshire(5/1/2010)
RR
New Jersey(5/1/2010)
RR
New Mexico(5/1/2010)
RR
New York(5/1/2010)
RR
North Carolina(5/1/2010)
RR
North Dakota(5/1/2010)
RR
Ohio(5/1/2010)
RR
Oklahoma(5/1/2010)
RR
Oregon(5/1/2010)
RR
Pennsylvania(5/1/2010)
RR
Puerto Rico(5/1/2010)
RR
Rhode Island(5/1/2010)
RR
South Carolina(5/1/2010)
RR
South Dakota(5/1/2010)
RR
Tennessee(5/1/2010)
RR
Texas(5/1/2010)
RR
Utah(5/1/2010)
RR
Vermont(5/1/2010)
RR
Virgin Islands(5/1/2010)
RR
Virginia(5/1/2010)
RR
Washington(5/1/2010)
RR
West Virginia(5/1/2010)
RR
Wisconsin(5/1/2010)
RR
Wyoming(5/1/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CM
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. | SELIGMAN MARKETING, INC. | SELIGMAN DISTRIBUTORS, INC. | SELIGMAN ADVISORS, INC. | RIVERSOURCE FUND DISTRIBUTORS, INC. | J & W SELIGMAN & CO. MARKETING, INC.
CRD#: 840 / SEC#: , 8-25845
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
290 Congress Street, Boston, MA 02210
Mailing Address
290 Congress Street Bx 29 20661, Boston, MA 02210
Phone number
(617) 385-9565
Established
Delaware since 04/20/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J. & W. SELIGMAN & CO. INCORPORATED | SOLE STOCKHOLDER | |
| BUFF, STEPHEN ODONNELL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2143366 |
| BUMPUS, JAMES FREDERICK | DIRECTOR, VICE PRESIDENT, AND HEAD OF INTERMEDIARY MARKETS | 1928724 |
| DEFAO, MICHAEL E | VICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY | 2687755 |
| MATTOX, MICHAEL SCOTT | CHIEF FINANCIAL OFFICER | 4383501 |
| TRUSCOTT, WILLIAM FREDERICK | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2416857 |
| ZEITOUN, MARC CLAUDE | DIRECTOR, VICE PRESIDENT AND HEAD OF NORTH AMERICA PRODUCT | 2639942 |
Disclosures
| Civil Event | 1 |
Red Flags
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Company Information
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
CRD#: 840Boston, MA 02210TRUST BUT VERIFY
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