Peter King, financial advisor Minneapolis MN
58 score

Peter King

CRD Number: 1418552
Current Firm: Dougherty & Company LLC

Peter King (CRD# 1418552) is an Investment Advisor Representative working at Dougherty & Company LLC in Minneapolis, MN and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Dougherty & Company LLC Minneapolis, MN Sep 2008 - Current 8
Stifel, Nicolaus & Company, Incorporated Golden Valley, MN Jun 2007 - Sep 2008 1
Stifel, Nicolaus & Company, Incorporated Minnetonka, MN Jul 2001 - Jun 2007 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1985
S65 NASAA Investment Advisors Law Examination Jul 1995
Disclosure Information

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:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Peter C. King
Phone Number: 612-376-4000
Registered State(s):
  • IL
  • SD
  • MN
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • 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)
Types of Clients
Registered States


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