Justin T. Dougherty

MORGAN STANLEY & CO. LLC

Los Angeles, CA 90067

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CRD#: 5708172

Professional summary

Justin Tyler Dougherty is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in Los Angeles, California.

Justin is registered as a RR (Registered Representative) and started their career in finance in 2010. Justin has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Justin Tyler 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

October 5, 2020 - Present

MORGAN STANLEY & CO. LLC

Office #1: 1999 Avenue Of The Stars, Los Angeles, CA 90067

CRD#: 8209

Los Angeles, CA

Past

August 6, 2018 - October 20, 2020

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

LOS ANGELES, CA

Past

October 2, 2013 - July 25, 2016

FISHER INVESTMENTS

RIA

CRD#: 107342

CAMAS, WA

Past

October 28, 2010 - August 20, 2013

ROEHL & YI INVESTMENT ADVISORS, LLC

RIA

CRD#: 109258

EUGENE, OR

Past

March 22, 2010 - August 20, 2013

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

EUGENE, OR

Past

March 1, 2010 - August 20, 2013

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

EUGENE, OR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(10/5/2020)

New York
(10/5/2020)

Exams

State Security Law Exam

Series 63

Date: 8/20/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/19/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 8/6/2018

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 2/26/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MORGAN STANLEY & CO. LLC

MORGAN STANLEY | MORGAN STANLEY DEAN WITTER | MORGAN STANLEY & CO., INCORPORATED | MORGAN STANLEY & CO. LLC | MORGAN STANLEY & CO. INCORPORATED

CRD#: 8209 / SEC#: , 8-15869

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1585 Broadway, New York, NY 10036-8293

Mailing Address

1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231

Phone number

(212) 761-4000

Established

Delaware since 12/03/1969

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MORGAN STANLEY CAPITAL MANAGEMENT, LLC	MEMBER
BERKE, MATTHEW EVAN	CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR	2524594
BHAIMIA, ISMAIL OMAR	DIRECTOR	6264162
DAMAST, EVAN SCOTT	DIRECTOR	3198635
HENNESSEY, JACQUELINE A	TEXAS DESIGNATED PRINCIPAL	2194034
KRAUSE, GARD J	CHIEF COMPLIANCE OFFICER	2284628
LYNN, GARY MICHAEL	PRINCIPAL FINANCIAL OFFICER	2162411
MACEJKA, PATRICK NMN	DIRECTOR	2139145
MORANO, DAVID	PRINCIPAL OPERATIONS OFFICER	2189287
STERN, MICHAEL A	DIRECTOR	4939073

Disclosures

Regulatory Event	487
Civil Event	5
Arbitration	56

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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Firm Stability Insights

Justin T. Dougherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Justin Tyler Dougherty's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOULIHAN LOKEY CAPITAL, INC.

FISHER INVESTMENTS

ROEHL & YI INVESTMENT ADVISORS, LLC

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/20/2018

Series 66

Date: 3/19/2010

SIE

Date: 10/1/2018

Series 79

Date: 8/6/2018

Series 7

Date: 2/26/2010

FINRA

Current Firm

MORGAN STANLEY & CO. LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MORGAN STANLEY & CO. LLC

TRUST BUT VERIFY

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