Stephen Michael Dougherty
Professional Summary
Stephen Michael Dougherty, who also goes by Stephen Dougherty, Stephen Michael Dougherty, is a registered financial advisor currently at WELLS FARGO SECURITIES, LLC located in Austin, Texas. Stephen is registered as a RR (Registered Representative) and started their career in finance in 2019. Stephen has worked at 1 firm and has passed the Series 63, Series 79TO, Series 52TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen Dougherty, Stephen Michael Dougherty
Similar Advisors
ATX PORTFOLIO ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VOYA FINANCIAL ADVISORS, INC.
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
ATX PORTFOLIO ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VOYA FINANCIAL ADVISORS, INC.
MORGAN STANLEY
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
ATX PORTFOLIO ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VOYA FINANCIAL ADVISORS, INC.
MORGAN STANLEY
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
ATX PORTFOLIO ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VOYA FINANCIAL ADVISORS, INC.
MORGAN STANLEY
Years of Experience
7 years in the financial services industry
Current & Past Employments
Similar Advisors
ATX PORTFOLIO ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VOYA FINANCIAL ADVISORS, INC.
MORGAN STANLEY
Current Firm
WACHOVIA CAPITAL MARKETS, LLC | WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING | WACHOVIA CORPORATE & INVESTMENT BANKING, LLC
Contact Information
Main Address
550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202Mailing Address
1 N Jefferson Ave H0004-05g, St. Louis, MO 63103Phone Number
(314) 875-3000Established
Delaware since 03/05/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | — |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| SULIMIRSKI, EDWARD | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 2287347 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER | — |
Disclosures
Regulatory Event
161Civil Event
1Similar Advisors
ATX PORTFOLIO ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VOYA FINANCIAL ADVISORS, INC.
MORGAN STANLEY
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
ATX PORTFOLIO ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VOYA FINANCIAL ADVISORS, INC.
MORGAN STANLEY
State Registrations and Notice Filings
(9/27/2019)
(9/27/2019)
(2/21/2020)
(3/14/2022)
(9/27/2019)
(10/25/2022)
(9/27/2019)
(9/27/2019)
(9/27/2019)
(9/27/2019)
(9/27/2019)
(1/11/2021)
(9/27/2019)
(9/27/2019)
(3/17/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Dec 2020About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Sep 2019About the Series 52TO examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
ATX PORTFOLIO ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VOYA FINANCIAL ADVISORS, INC.
MORGAN STANLEY
CRS (Client Relationship Summary) - BD
Click below to view Stephen Michael Dougherty's CRS (Customer Relationship Summary).
Similar Advisors
ATX PORTFOLIO ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
VOYA FINANCIAL ADVISORS, INC.
MORGAN STANLEY
