RD
Robert R. Dougherty
ARETE WEALTH MANAGEMENT
Carmel, NY 10512
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CRD#: 5900736
RD
Professional summary
Robert Randall Dougherty is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Carmel, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2011. Robert has worked at 3 firms and has passed the Series 63, SIE 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 Robert Randall 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®
NoneExperience
Current
July 20, 2022 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 95 Gleneida Ave, Carmel, NY 10512Office #2: 1663 Route 22, Brewster, NY 10509Office #3: 315 Ushers Rd , Ballston Lake , NY 12019BD
CRD#: 44856
Carmel, NY
Past
February 25, 2021 - July 21, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
WHITE PLAINS, NY
Past
April 18, 2019 - February 26, 2021
SOVEREIGN GLOBAL ADVISORS LLC
BD
CRD#: 167663
White Plains, NY
Past
March 23, 2011 - April 17, 2019
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
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(7/20/2022)
RR
Arizona(7/20/2022)
RR
California(7/20/2022)
RR
Colorado(7/20/2022)
RR
Connecticut(7/20/2022)
RR
Florida(7/20/2022)
RR
Georgia(7/20/2022)
RR
Illinois(7/20/2022)
RR
Indiana(7/20/2022)
RR
Iowa(7/20/2022)
RR
Maryland(7/20/2022)
RR
Massachusetts(7/20/2022)
RR
Michigan(7/20/2022)
RR
Minnesota(7/20/2022)
RR
New Jersey(7/20/2022)
RR
New York(7/20/2022)
RR
North Carolina(7/25/2022)
RR
Ohio(7/20/2022)
RR
Oklahoma(7/20/2022)
RR
Pennsylvania(7/20/2022)
RR
South Carolina(7/20/2022)
RR
Texas(7/20/2022)
RR
Virginia(7/20/2022)
RR
Washington(7/22/2022)
RR
Wisconsin(7/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARETE WEALTH MANAGEMENT, LLC
ARETE WEALTH MANAGEMENT, LLC | KEYSTONE SECURITIES, LLC. | KEYSTONE SECURITIES, LLC | KEYSTONE INVESTMENT ADVISORS, LLC
CRD#: 44856 / SEC#: , 8-50854
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607
Mailing Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607
Phone number
(312) 940-3684
Established
Illinois since 01/20/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856Carmel, NY 10512TRUST BUT VERIFY
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