Thomas Dougherty
Thomas Dougherty is a registered investment advisor at Cetera Investment Advisers LLC, based in Huntington Station, NY, with 33 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Huntington Station, NY
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Regulatory History (1)
Customer Dispute
January 2009Other Business ActivitiesSells Insurance
Thomas owns Blue Chip Financial, selling insurance and securities products full-time. He also works as a Risk Manager for JAF Associates, a property and casualty insurance agency, dedicating about two-thirds of his time, and serves on the board of the Ancient Order of Hibernian and The Spirit of Huntington Art Center, spending minimal time on each.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Voya Financial Advisors, INC.Broker
Waddell & Reed, INC.Broker
Signator Investors, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
State Registrations6 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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