BD
Brian Dougherty
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CRD#: 6367155
BD
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.
Brian Dougherty, who also goes by Brian Peter Dougherty, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2014. Brian had worked at 1 firm and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brian Peter Dougherty
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.
Entity Name: Yellow Letter Realty Group LLC Investment related: N Address: Indianapolis, IN 46260 Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 12/01/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: Real Estate brokerage owned by my spouse. I would be added as a signer to the bank account to process deposits and pay bills from account" Entity Name: Owner/Landlord Rental Property Investment related: Y Address: 10214 Orchard Park Dr W, Indianapolis, IN 46280 Nature of the other business: Real Estate Position/Title/Relationship: Owner Start Date: 05/15/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Spouse will be handling day-to-day responsibilities of landlord. I will occasionally assist with paying utility bills and landscaping. ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY OR PRIVATE INVESTMENT WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 7/13/2020 ADDRESS: 107 MIRAMAR BEACH, FL DETAILS: REAL ESTATE INVESTMENT RELATED: YES HOURS DEDICATED (per month unless otherwise indicated): 2 HOURS DURING TRADING: 0 ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY OR PRIVATE INVESTMENT WITH A NON-PUBLIC ENTITY NAME OF ENTITY: WESTERN SANDS, LLC. POSITION: SIGNER ON BANK ACCOUNT START DATE: 8/17/2018 ADDRESS: 9000 Indianapolis, IN DETAILS: RESIDENTIAL REAL ESTATE - DEPOSIT OF SPOUSE'S REALTOR COMMISSIONS AND RENT FROM RESIDENTIAL RENTALS. INVESTMENT RELATED: YES HOURS DEDICATED (per month unless otherwise indicated): 1 HOURS DURING TRADING: N/A ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: CO-OWNER / LANDLORD - RENTAL PROPERTY START DATE: 8/1/2018 ADDRESS: 809 INDIANAPOLIS, IN. DETAILS: REAL ESTATE INVESTMENT RELATED: YES HOURS DEDICATED (per month unless otherwise indicated): 2 HOURS DURING TRADING: 0 ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 6/1/2016 ADDRESS: 10214 INDIANAPOLIS, IN DETAILS: 10214 INDIANAPOLIS, IN. RENTAL PROPERTY HOURS DEDICATED (per month unless otherwise indicated): 0 HOURS DURING TRADING: 0 INVESTMENT RELATED: YES
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
March 4, 2020 - April 12, 2022
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
INDIANAPOLIS, IN
Past
July 29, 2014 - April 12, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
INDIANAPOLIS, IN
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".
J.P. MORGAN SECURITIES LLC
BEAR, STEARNS & CO. | JPMORGAN H&Q | JPMORGAN CHASE | J.P.MORGAN SECURITIES INC. | J.P. MORGAN WEALTH MANAGEMENT | J.P. MORGAN SECURITIES LLC | J.P. MORGAN SECURITIES INC. | J.P. MORGAN SECURITIES | J.P. MORGAN PRIVATE WEALTH MANAGEMENT | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | J.P. MORGAN PRIVATE CLIENT | J.P. MORGAN PRIVATE BANK | J.P. MORGAN | CHASE PRIVATE CLIENT | CHASE INVESTMENTS | BEAR, STEARNS & CO. INC.
CRD#: 79 / SEC#: 801-3702, 8-35008
RIA
Registered Investment Advisory firm - SEC (4/3/1965 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/11/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
J.P. MORGAN SECURITIES LLC
BEAR, STEARNS & CO. | JPMORGAN H&Q | JPMORGAN CHASE | J.P.MORGAN SECURITIES INC. | J.P. MORGAN WEALTH MANAGEMENT | J.P. MORGAN SECURITIES LLC | J.P. MORGAN SECURITIES INC. | J.P. MORGAN SECURITIES | J.P. MORGAN PRIVATE WEALTH MANAGEMENT | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | J.P. MORGAN PRIVATE CLIENT | J.P. MORGAN PRIVATE BANK | J.P. MORGAN | CHASE PRIVATE CLIENT | CHASE INVESTMENTS | BEAR, STEARNS & CO. INC.
CRD#: 79 / SEC#: 801-3702, 8-35008
RIA
Registered Investment Advisory firm - SEC (4/3/1965 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
270 Park Avenue, New York, NY 10017
Mailing Address
1111 Polaris Pkwy Floor 3f, Columbus, OH 43240
Phone number
(212) 272-2000
Established
Delaware since 08/12/1985
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
8,327
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
