Dominic A. Dougherty

ADVISING FOR LIFE

IRVING, TX

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CRD#: 6897770

Professional summary

Dominic Aloysius Dougherty IV, who also goes by Dominic A Dougherty, Dominic A Dougherty IV, Dominic A Dougherty, is a registered financial advisor currently at ADVISING FOR LIFE, LLC located in Irving, Texas.

Dominic is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Dominic has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dominic A Dougherty | Dominic A Dougherty Iv | Dominic A 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.

1) Licensed insurance agent; Investment-related; Same address; Insurance sales; Implementation of insurance recommendations; Approx. 10% of time during the month. 2) Bhairavi Dallas Duplex II LLC c/o Lalitha LLC; Investment-related; 1861 N Central Expwy, Suite #400, Plano, TX. 75075; Limited partner; Passive investor; Entitled to a share in gains contingent on successful sale of property, or a share of income if held; Less than 5% of time per month. 3) 1808C E Northgate Dr; 1808 E Northgate Dr, Unit C, Irving, TX, 75062; Condominium rental; Property manager; Identifying prospective renters, providing and signing contracts, collecting monthly rent payments, maintaining and repairing property as needed; Less than 5% of time during the month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominic Aloysius Dougherty IV'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®

None

Experience

Current

July 31, 2025 - Present

ADVISING FOR LIFE, LLC

RIA

CRD#: 336634

IRVING, TX

Past

August 24, 2020 - April 18, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

IRVING, TX

Past

June 6, 2018 - December 6, 2019

TD AMERITRADE, INC.

CRD#: 7870

Southlake, TX

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.

Highlighted states indicate IAR registrations

IAR

Texas
(7/31/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/15/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/6/2018

General Securities Representative Examination

Current Firm

ADVISING FOR LIFE, LLC

CRD#: 336634 / SEC#:

Texas

Registered Investment Advisory firm - (7/31/2025 Approved)

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Contact information

Main Address

Irving, TX

Mailing Address

Phone number

(214) 888-6735

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Dominic A. Dougherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominic Aloysius Dougherty IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVISING FOR LIFE, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

TD AMERITRADE, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/15/2018

SIE

Date: 10/1/2018

Series 7

Date: 6/6/2018

Current Firm

ADVISING FOR LIFE, LLC

Contact information

Documents

Red Flags

Company Information

ADVISING FOR LIFE, LLC

TRUST BUT VERIFY

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