James Dougherty is a registered investment advisor, based in Wheaton, IL, with 14 years of industry experience.
Location
120 E. Liberty Drive, Suite 400, Wheaton, IL, 60187
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
First Trust Portfolios L.P.
October 2022 - Present · 3 yrs 9 mos
First Trust Portfolios L.P.Broker
October 2022 - Present · 3 yrs 9 mos
First Trust Advisors LP
September 2022 - Present · 3 yrs 10 mos
Previous Registrations
Lincoln Financial Distributors, INC.Broker
April 2011 - September 2022 · 11 yrs 5 mos
State Registrations3 states
ILKSMO
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.