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Kenneth J Dougherty

Advisors Asset Management, Inc.

Princeton, NJ

Fairfield, CT

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Current Employers
Advisors Asset Management, Inc.

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2019-03-05
  • CT RA
    APPROVED
    Since 2019-03-05

Branch Locations

300 Carnegie Center Suite 100, Princeton, NJ 08540 • United States

Fairfield, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cohen & Steers Securities, Llc New York NY 07/2014 02/2019
Cohen & Steers Capital Management, Inc. New York NY 07/2014 02/2019
Advisors Asset Management, Inc Monument CO 02/2019 Present
  • 07/2014 → 02/2019
    Cohen & Steers Securities, Llc
    New York, NY
  • 07/2014 → 02/2019
    Cohen & Steers Capital Management, Inc.
    New York, NY
  • 02/2019 → Present
    Advisors Asset Management, Inc
    Monument, CO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-03-05
S63 Uniform Securities Agent State Law Examination 1994-06-01
  • S65 Uniform Investment Adviser Law Examination
    2019-03-05
  • S63 Uniform Securities Agent State Law Examination
    1994-06-01

View on SEC IAPD

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Other Offices

BLACKROCK INVESTMENT MANAGEMENT, LLC · PRINCETON, NJ
SONGBIRD CAPITAL, LLC · PRINCETON, NJ
J.P. MORGAN SECURITIES LLC · Princeton, NJ
SYSTEMATIC ALPHA INVESTMENTS, LLC · PRINCETON, NJ
PNC WEALTH MANAGEMENT LLC · PRINCETON, NJ
RBC CAPITAL MARKETS, LLC · Princeton, NJ
WATERMARK GROUP, INC. · PRINCETON, NJ
PRINCETON EQUITY GROUP · PRINCETON, NJ

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