SD
Steven L. Dougherty
MPWM ADVISORY SOLUTIONS LLC
Alpharetta, GA 30009
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CRD#: 7034396
SD
Professional summary
Steven Laurence Dougherty, who also goes by Steven L Dougherty, is a registered financial advisor currently at MPWM ADVISORY SOLUTIONS LLC located in Alpharetta, Georgia and LPL FINANCIAL LLC located in Alpharetta, Georgia.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Steven has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven L 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. 4/2/2019 - MPWM Advisory Solutions, LLC - DBA: (Hybrid) MAYER PRIVATE WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 01/10/2019 - 80 Hours Per Month/4 Hours During Securities Trading - Time Spent 60%. 2. 4/2/2019 - MPWM ADVISORY SOLUTIONS LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 01/10/2019 - 80 Hours Per Month/4 Hours During Securities Trading - Time Spent 60% - I provide investment advisory services through MPWM ADVISORY SOLUTIONS LLC, an independent investment advisor firm. I started this business activity in 1/2019. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Laurence 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
April 16, 2019 - Present
MPWM ADVISORY SOLUTIONS LLC
Office #1: 8000 Avalon Blvd Suite 100, Alpharetta, GA 30009RIA
CRD#: 169885
Alpharetta, GA
Current
December 17, 2018 - Present
LPL FINANCIAL LLC
Office #1: 8000 Avalon Blvd Ste 100, Alpharetta, GA 30009RIA
BD
CRD#: 6413
ALPHARETTA, GA
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".
MA
MPWM ADVISORY SOLUTIONS LLC
ABBOTT ADVISORS, INC | THE TRUSTED ADVISOR | NAVIGATE FINANCIAL | NAVIGATE DIVORCE PLANNING | MULLINS WEALTH MANAGEMENT | MPWM ADVISORY SOLUTIONS LLC | MAYER, STEVEN J | MAYER PRIVATE WEALTH MANAGEMENT | MANHATTAN WEALTH MANAGEMENT GROUP | CAPSTONE FINANCIAL ADVISORS | CAPSTONE BENEFITS ADVISORS
CRD#: 169885 / SEC#: 801-78961
RIA
Registered Investment Advisory firm - (1/2/2014 Approved)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.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
Florida(8/6/2019)
RR
Georgia(1/9/2019)
IAR
Georgia(4/16/2019)
RR
Illinois(12/3/2019)
RR
New Jersey(2/22/2021)
RR
Ohio(2/23/2021)
RR
Tennessee(12/3/2019)
RR
Texas(12/3/2019)
RR
Virginia(12/3/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/17/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MPWM ADVISORY SOLUTIONS LLC
ABBOTT ADVISORS, INC | THE TRUSTED ADVISOR | NAVIGATE FINANCIAL | NAVIGATE DIVORCE PLANNING | MULLINS WEALTH MANAGEMENT | MPWM ADVISORY SOLUTIONS LLC | MAYER, STEVEN J | MAYER PRIVATE WEALTH MANAGEMENT | MANHATTAN WEALTH MANAGEMENT GROUP | CAPSTONE FINANCIAL ADVISORS | CAPSTONE BENEFITS ADVISORS
CRD#: 169885 / SEC#: 801-78961
RIA
Registered Investment Advisory firm - (1/2/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8000 Avalon Blvd Suite 100, Alpharetta, GA 30009
Mailing Address
Phone number
(678) 566-4001
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 653 |
| AUM (Assets Under Management) | $ 320,546,673 |
Red Flags
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Company Information
MPWM ADVISORY SOLUTIONS LLC
CRD#: 169885Alpharetta, GA 30009TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
