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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2015-02-06 |
Branch Locations
103 Marty Drive, Suite 101, Buffalo, MN 55313 • United States
103 Marty Drive Suite 101, Buffalo, MN 55313 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2013-12-23 |
Branch Locations
103 Marty Drive Suite 101, Buffalo, MN 55313 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Independent Financial Group | Buffalo | MN | 01/2013 | Present |
| Dougherty & Associates Financial Advisors, Inc | Buffalo | MN | 01/2013 | Present |
(1) DOUGHERTY & ASSOICIATES FINANCIAL ADVISORS, INC. POSITION: Independent Contractor NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 01/01/2013 ADDRESS: 103 Marty Drive, Suite 101, Buffalo MN 55313, United States DESCRIPTION: (1) INVESTMENT ADVISOR REPRESENTATIVE FOR DOUGHERTY & ASSOICIATES FINANCIAL ADVISORS, INC. A REGISTERED INVESTMENT ADVISER PROVIDING INVESTMENT MANAGEMENT, ASSET ALLOCATION, FINANCIAL PLANNING SINCE JANUARY 2013. INVESTMENT RELATED. APPROXIMATELY 50% TIME SPENT. BUSINESS CONDUCTED AT 103 MARTY DRIVE, SUITE 101 BUFFALO, MN 55313. (2) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2013 ADDRESS: 103 Marty Drive, Suite 101, Buffalo MN 55313, United States DESCRIPTION: MN INSURANCE AGENT OFFERING SALES OF VARIOUS INSURANCE PRODUCTS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-04-01 |
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