SD
Stephen M. Dougherty
WELLS FARGO SECURITIES
Austin, TX 78701
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CRD#: 6819615
SD
Professional summary
Stephen Michael Dougherty, who also goes by Stephen Dougherty, Stephen Michael Dougherty, is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen Dougherty | Stephen Michael 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Michael 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
September 26, 2019 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 111 Congress Avenue 22nd Floor, Austin, TX 78701BD
CRD#: 126292
Austin, TX
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
Arizona(9/27/2019)
RR
California(9/27/2019)
RR
Colorado(2/21/2020)
RR
Florida(3/14/2022)
RR
Georgia(9/27/2019)
RR
Idaho(10/25/2022)
RR
Illinois(9/27/2019)
RR
Indiana(9/27/2019)
RR
Massachusetts(9/27/2019)
RR
New Jersey(9/27/2019)
RR
New York(9/27/2019)
RR
Oregon(1/11/2021)
RR
Pennsylvania(9/27/2019)
RR
Texas(9/27/2019)
RR
Utah(3/17/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 12/21/2020
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 9/26/2019
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
New York Stock Exchange
Current Firm
WF
WELLS FARGO SECURITIES, LLC
WACHOVIA CAPITAL MARKETS, LLC | WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING | WACHOVIA CORPORATE & INVESTMENT BANKING, LLC
CRD#: 126292 / SEC#: , 8-65876
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202
Mailing Address
1 N Jefferson Ave H0004-063, St. Louis, MO 63103
Phone number
(314) 875-3286
Established
Delaware since 03/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 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 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 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.
