Jeffrey Seeman (CRD# 1170574) is an Investment Advisor Representative working at Dougherty & Company LLC in Minneapolis, MN and has over 31 years of experience in the finance industry.
CRD# 2665369
Brown Wealth Management, LLC
Score
103
CRD# 5082883
Phillip James Financial Company
Score
103
CRD# 4207178
Allodium Investment Consultants, LLC
Score
103
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Dougherty & Company LLC | Minneapolis, MN | Jan 2012 - Current | 5 |
| Wells Fargo Advisors LLC | Minnetonka, MN | May 2009 - Jan 2012 | 2 |
| Wachovia Securities, LLC | Minnetonka, MN | Jan 2008 - May 2009 | 1 |
| A.g. Edwards | St. Louis, MO | May 2002 - Jan 2008 | 5 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jul 1986 |
| S65 | NASAA Investment Advisors Law Examination | Dec 1992 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.
Reported Disclosure Event:- Customer Dispute
- MN
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Total Assets Under Management102MILLIONS
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Total Number of Accounts502ACCOUNTS
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Average Account Value$202,684
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AZ, CA, CO, FL, IA, IL, MN, ND, SD, TX, WI
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