John Dougherty, financial advisor Philadelphia PA
96 score

John Dougherty

CRD Number: 3018615
Current Firm: Wells Fargo Advisors, LLC

John Dougherty (CRD# 3018615) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Philadelphia, PA and has over 18 years of experience in the finance industry. John Dougherty has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Wells Fargo Advisors, LLC Philadelphia, PA Apr 2013 - Current 3
Bank Of America Na Philadelphia, PA Feb 2011 - Apr 2013 2
Merrill Lynch Philadelphia, PA Mar 2010 - Feb 2011 < 1
New England Securities Newtown Square, PA May 2008 - Mar 2010 1
Linsco/private Ledger Corp. Bryn Mawr, PA Dec 2007 - May 2008 < 1
Wachovia Securities, LLC Jenkintown, PA Jun 2003 - Dec 2007 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1998
S65 NASAA Investment Advisors Law Examination Mar 1998
Contact Info for John A. Dougherty
Phone Number: 314-875-3000
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    372,113
    MILLIONS
  • Total Number of Accounts
    1,339,368
    ACCOUNTS
  • Average Account Value
    $277,827
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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