DD
Daniel J. Dougherty
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS
Buffalo, MN 55313
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CRD#: 6359033
DD
Professional summary
Daniel John Dougherty is a registered financial advisor currently at DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. located in Buffalo, Minnesota and INDEPENDENT FINANCIAL GROUP, LLC located in Buffalo, Minnesota.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Daniel has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(1) DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. POSITION: Owner NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 175 SECURITIES TRADING HOURS: 175 START DATE: 11/01/2015 ADDRESS: 103 Marty Drive, Suite 101, Buffalo MN 55313, United States DESCRIPTION: 50% OWNER AND IAR AT SEC REGISTERED INVESTMENT ADVISOR
CRS (Client Relationship Summary) - RIA
Click below to view Daniel John Dougherty's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel John 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
November 13, 2015 - Present
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
Office #1: 103 Marty Drive Suite 101, Buffalo, MN 55313RIA
CRD#: 165145
Buffalo, MN
Current
February 4, 2020 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 103 Marty Drive, Suite 101, Buffalo, MN 55313RIA
BD
CRD#: 7717
Buffalo, MN
Current
July 15, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 103 Marty Drive, Suite 101, Buffalo, MN 55313RIA
BD
CRD#: 7717
Buffalo, MN
Past
October 8, 2015 - November 5, 2015
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
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".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.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
Arizona(3/17/2020)
RR
California(3/17/2020)
RR
Colorado(3/17/2020)
RR
Florida(3/17/2020)
RR
Idaho(3/17/2020)
RR
Indiana(3/17/2020)
RR
Michigan(3/17/2020)
RR
Minnesota(10/8/2015)
IAR
Minnesota(11/13/2015)
RR
Montana(3/17/2020)
RR
New Mexico(3/17/2020)
RR
North Carolina(1/6/2021)
RR
North Dakota(3/17/2020)
RR
Oklahoma(3/17/2020)
RR
Pennsylvania(3/17/2020)
RR
South Dakota(3/17/2020)
RR
Texas(3/17/2020)
IAR
Texas(11/12/2020)
RR
Wisconsin(5/7/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 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.
Company Information
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717Buffalo, MN 55313TRUST BUT VERIFY
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