TD
Timothy T. Dougherty
BAY COLONY ADVISORS
ATLANTA, GA
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CRD#: 726248
TD
Professional summary
Timothy Thomas Dougherty is a registered financial advisor currently at BAY COLONY ADVISORS located in Atlanta, Georgia.
Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Timothy has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
INDEPENDENT INSURANCE AGENT BIOTECH INSIGHTS PODCAST - NON-INVESTMENT RELATED, CONDUCTS A PODCAST ONLINE, SPENDS 4HOURS PER MONTH ON THIS ACTIVITY. ATTENDS CONFERENCES. CONCORD, MASSACHUSETTS
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Thomas 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
August 31, 2018 - Present
BAY COLONY ADVISORS
RIA
CRD#: 152583
ATLANTA, GA
Past
October 17, 2016 - September 4, 2018
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
ATLANTA, GA
Past
April 1, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
ATLANTA, GA
Past
March 13, 2015 - September 4, 2018
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
June 1, 2009 - March 25, 2015
MORGAN STANLEY
RIA
CRD#: 149777
ATLANTA, GA
Past
June 1, 2009 - March 25, 2015
MORGAN STANLEY
BD
CRD#: 149777
ATLANTA, GA
Past
April 30, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
NAPLES, FL
Past
February 6, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NAPLES, FL
Past
July 1, 2003 - February 10, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NAPLES, FL
Past
July 1, 2003 - February 10, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NAPLES, FL
Past
May 13, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
NAPLES, FL
Past
May 12, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 16, 1990 - November 29, 1993
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
December 8, 1987 - April 19, 1990
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 16, 1984 - January 30, 1988
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
Past
February 7, 1983 - October 4, 1984
PIPER SANDLER & CO.
BD
CRD#: 665
Past
March 23, 1981 - March 7, 1983
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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".
BC
BAY COLONY ADVISORS
ALLEGIANCE FINANCIAL SERVICES INC. | WINDSOR WEALTH MANAGEMENT | TEWKS WEALTH MANAGEMENT, LLC | SENTINEL ADVISORY SERVICES | PENSION & WEALTH MANAGEMENT ADVISORS | LEONARD FINANCIAL GROUP | LEGACY FINANCIAL | HAGIN INVESTMENT MANAGEMENT | GREENHAVEN FINANCIAL MANAGEMENT | GLAZIER FINANCIAL ADVISORS | ESSENTIAL ASSET MANAGEMENT, LLC | EMERALD WEALTH ADVISORS | CHRISTOPHER LEE FINANCIAL | CASTLE HILL FINANCIAL | BUSINESS BENEFITS, INC. | BAY COLONY ADVISORY GROUP, INC. | BAY COLONY ADVISORS | ASYMMETRIC CAPITAL ADVISORY
CRD#: 152583 / SEC#: 801-107792
RIA
Registered Investment Advisory firm - (5/17/2016 Approved)Connecticut
Registered Investment Advisory firm - (6/3/2016 Terminated)Florida
Registered Investment Advisory firm - (5/19/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/10/2014 Terminated)North Carolina
Registered Investment Advisory firm - (6/24/2016 Terminated)Texas
Registered Investment Advisory firm - (5/19/2016 Terminated)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
Georgia(8/31/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BC
BAY COLONY ADVISORS
ALLEGIANCE FINANCIAL SERVICES INC. | WINDSOR WEALTH MANAGEMENT | TEWKS WEALTH MANAGEMENT, LLC | SENTINEL ADVISORY SERVICES | PENSION & WEALTH MANAGEMENT ADVISORS | LEONARD FINANCIAL GROUP | LEGACY FINANCIAL | HAGIN INVESTMENT MANAGEMENT | GREENHAVEN FINANCIAL MANAGEMENT | GLAZIER FINANCIAL ADVISORS | ESSENTIAL ASSET MANAGEMENT, LLC | EMERALD WEALTH ADVISORS | CHRISTOPHER LEE FINANCIAL | CASTLE HILL FINANCIAL | BUSINESS BENEFITS, INC. | BAY COLONY ADVISORY GROUP, INC. | BAY COLONY ADVISORS | ASYMMETRIC CAPITAL ADVISORY
CRD#: 152583 / SEC#: 801-107792
RIA
Registered Investment Advisory firm - (5/17/2016 Approved)Connecticut
Registered Investment Advisory firm - (6/3/2016 Terminated)Florida
Registered Investment Advisory firm - (5/19/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/10/2014 Terminated)North Carolina
Registered Investment Advisory firm - (6/24/2016 Terminated)Texas
Registered Investment Advisory firm - (5/19/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
86 Baker Avenue Extension Suite 310, Concord, MA 01742
Mailing Address
Phone number
(978) 369-7200
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,039 |
| AUM (Assets Under Management) | $ 1,263,305,046 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/06/2025 | ||
| 09/25/2024 | ||
| 10/24/2023 |
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.
