Gregory L. Lohmer
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.
Gregory Lee Lohmer, who also goes by Gregory L Lohmer, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1977. Gregory had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1 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
May 1, 2018 - July 20, 2020
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
February 24, 2011 - July 20, 2020
INDEPENDENT FINANCIAL GROUP, LLC
February 14, 2011 - February 14, 2011
INDEPENDENT FINANCIAL GROUP, LLC
February 14, 2011 - July 20, 2020
INDEPENDENT FINANCIAL GROUP, LLC
December 24, 2008 - March 7, 2011
SECURITIES MONITORING GROUP, LLC
July 5, 2001 - February 11, 2011
QA3 FINANCIAL CORP.
January 2, 1992 - July 5, 2001
OSAIC WEALTH, INC.
February 13, 1990 - January 3, 1992
KAVANAUGH SECURITIES, INC.
November 19, 1989 - March 1, 1990
OSAIC WEALTH, INC.
June 9, 1978 - August 4, 1987
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
December 21, 1977 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
Primary Firm SEC Registration
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
CRD#: 165145 / SEC#: 801-93169
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
Series 1
Date: 12/15/1977
Registered Representative ExaminationCurrent Firm
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
CRD#: 165145 / SEC#: 801-93169
Contact information
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.
