AB
Andrew D. Bowman
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS
Buffalo, MN 55313
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CRD#: 7940154
AB
Professional summary
Andrew David Bowman is a registered financial advisor currently at DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. located in Buffalo, Minnesota and INDEPENDENT FINANCIAL GROUP, LLC located in Buffalo, Minnesota.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Andrew has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.
DOUGHERTY AND ASSOCIATES FINANCIAL ADVISORS, INC. POSITION: Employee NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/01/2024 ADDRESS: 103 Marty Drive, Suite 101, Buffalo MN 55313, United States DESCRIPTION: Administrative assistant
CRS (Client Relationship Summary) - RIA
Click below to view Andrew David Bowman'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
January 9, 2025 - Present
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
Office #1: 103 Marty Drive Suite 101, Buffalo, MN 55313RIA
CRD#: 165145
Buffalo, MN
Current
October 18, 2024 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 103 Marty Drive, Suite 101, Buffalo, MN 55313RIA
BD
CRD#: 7717
Buffalo, MN
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".
D&
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
CRD#: 165145 / SEC#: 801-93169
RIA
Registered Investment Advisory firm - (4/20/2015 Approved)Minnesota
Registered Investment Advisory firm - (5/13/2015 Terminated)Texas
Registered Investment Advisory firm - (5/13/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (5/13/2015 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.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
Minnesota(1/2/2025)
IAR
Minnesota(1/9/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/18/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
D&
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
CRD#: 165145 / SEC#: 801-93169
RIA
Registered Investment Advisory firm - (4/20/2015 Approved)Minnesota
Registered Investment Advisory firm - (5/13/2015 Terminated)Texas
Registered Investment Advisory firm - (5/13/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (5/13/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
103 Marty Drive Suite 101, Buffalo, MN 55313
Mailing Address
Phone number
(763) 682-4014
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,321 |
| AUM (Assets Under Management) | $ 353,886,062 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/14/2025 | ||
| 10/21/2024 | ||
| 11/28/2023 | ||
| 10/13/2022 |
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.
