Robert S. Dougherty
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.
Robert S Dougherty was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2016. Robert had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2019 - October 13, 2022
ARETE ADVISORS
September 2, 2016 - May 2, 2019
LPL FINANCIAL LLC
September 2, 2016 - May 2, 2019
LPL FINANCIAL LLC
May 10, 2016 - September 8, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
ARETE ADVISORS
CRD#: 299636 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 157 |
| AUM (Assets Under Management) | $ 40,958,004 |
Red Flags
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