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103 Marty Drive Suite 101, Buffalo, MN 55313 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-11-12 |
| MN | RA | APPROVED | 2018-04-27 |
Branch Locations
103 Marty Drive Suite 101, Buffalo, MN 55313 • United States
12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2019-12-16 |
Branch Locations
103 Marty Drive, Suite 101, Buffalo, MN 55313 • United States
1337 County Road D Circle E, St Paul, MN 55109 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scsu | St. Cloud | MN | 03/2014 | 05/2017 |
| Dougherty & Associates Financial Advisors, Inc. | Buffalo | MN | 05/2017 | 04/2018 |
| Independent Financial Group | San Diego | CA | 07/2017 | Present |
| Dougherty & Associates Financial Advisors, Inc. | Buffalo | MN | 04/2018 | Present |
| Dougherty & Associates Financial Advisors, Inc. | Buffalo | MN | 03/2015 | 05/2017 |
| Dougherty & Associates Financial Advisors, Inc. | Buffalo | MN | 12/2019 | Present |
| Dougherty & Associates Financial Advisors, Inc. | Buffalo | MN | 09/2020 | Present |
(1) DILLON DOUGHERTY/INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/12/2018 ADDRESS: 103 Marty Drive, Suite 101, Buffalo MN 55313, United States DESCRIPTION: MN INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (2) DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. POSITION: Owner NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 175 START DATE: 04/27/2018 ADDRESS: 103 Marty Drive, Suite 101, Buffalo MN 55313, United States DESCRIPTION: Portfolio management, asset allocation/portfolio monitoring, financial planning, selection of other advisors, seminars.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-04-11 |
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