Dennis M. Dougherty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dennis Michael Dougherty, who also goes by Dennis Michael Michael Dougherty, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1981. Dennis had worked at 14 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2011 - January 23, 2025
UBS FINANCIAL SERVICES INC.
August 5, 2011 - January 23, 2025
UBS FINANCIAL SERVICES INC.
January 3, 2011 - August 8, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - August 8, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 7, 2004 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 7, 2004 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 1, 1999 - August 30, 2004
MORGAN STANLEY DW INC.
July 31, 1991 - August 30, 2004
MORGAN STANLEY DW INC.
January 24, 1991 - July 19, 1991
NTB FINANCIAL CORPORATION
July 18, 1990 - February 22, 1991
MALONE & ASSOCIATES, INC.
February 7, 1990 - July 23, 1990
FIRST AMERICA EQUITIES CORP.
November 17, 1989 - February 6, 1990
GLOBAL CAPITAL SECURITIES CORPORATION
July 11, 1985 - November 28, 1989
MARSHALL DAVIS, INC.
July 11, 1984 - June 27, 1985
NIELSON AND CLARK INC.
April 16, 1984 - April 30, 1984
WALFORD, DEMARET & CO., INC.
August 31, 1983 - April 13, 1984
B. J. LEONARD AND COMPANY, INC.
November 4, 1981 - September 6, 1983
FIRST COLORADO INVESTMENTS & SECURITIES, INC.
June 23, 1981 - September 24, 1981
B & L SECURITIES CORPORATION
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
