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103 Marty Drive Suite 101, Buffalo, MN 55313 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2020-06-16 |
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 | San Diego | CA | 02/2011 | 12/2018 |
| Dougherty & Associates Financial Advisors, Inc. | Buffalo | MN | 07/2012 | 12/2018 |
| Independent Financial Group | Buffalo | MN | 01/2020 | Present |
| Retired | Maple Lake | MN | 01/2019 | 12/2019 |
| Dougherty & Associates Financial Advisors, Inc. | Buffalo | MN | 06/2020 | Present |
(1) DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. POSITION: Employee NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 02/05/2020 ADDRESS: 103 Marty Drive, Suite 101, Buffalo MN 55313, United States DESCRIPTION: Assisting in compliance for RIA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-05-07 |
| S63 | Uniform Securities Agent State Law Examination | 2008-01-09 |
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