Aaron Michael Daugherty

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2018-07-12

CA RA
APPROVED

Since 2018-07-12

Branch Locations

5300 Meadows Rd Suite 300, Lake Oswego, OR 97035-3229 • 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

Organization	City	State	From	To
New Leaf Nw	West Linn	OR	04/2014	12/2016
Entertainment Properties Inc.	Portland	OR	10/2015	01/2017
Scottrade, Inc.	Hillsboro	OR	02/2017	05/2018
Td Ameritrade, Inc.	Salem	OR	02/2018	05/2018
Td Ameritrade Investment Management, Llc	Omaha	NE	02/2018	05/2018
Ubs Financial Services Inc.	Lake Oswego	OR	07/2018	Present

04/2014 → 12/2016

New Leaf Nw

West Linn, OR
10/2015 → 01/2017

Entertainment Properties Inc.

Portland, OR
02/2017 → 05/2018

Scottrade, Inc.

Hillsboro, OR
02/2018 → 05/2018

Td Ameritrade, Inc.

Salem, OR
02/2018 → 05/2018

Td Ameritrade Investment Management, Llc

Omaha, NE
07/2018 → Present

Ubs Financial Services Inc.

Lake Oswego, OR

Previous Registrations

2018-05-14 → 2018-06-01

Td Ameritrade, Inc.

Salem, OR
2018-02-26 → 2018-06-01

Td Ameritrade Investment Management, Llc

Omaha, NE
2017-04-19 → 2018-02-26

Scottrade Investment Management

Saint Louis, MO
2012-12-19 → 2015-10-07

Harrisdirect Llc

Portland, OR

Arlington, VA
2011-08-03 → 2012-07-03

Advanced Equities, Inc.

San Francisco, CA

Other Businesses

1) Double Barrel Inc. DBA The Alibi / Tiki bar and karaoke lounge / Manager 2) Oregon Army National Guard, Clakckamas Oregon (Clackamas County), United States -97015, Governmental Entity, Federally mandated and equipped military organization under the civillian direction of the Oregon Military Dept. with the Gov. of Oregon as the Commander-in-ChiefEmployee / staff member, Intelligence Analyst, start date- 4/26/2024.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-12-21
S63	Uniform Securities Agent State Law Examination	2006-04-17

S66 Uniform Combined State Law Examination

2006-12-21
S63 Uniform Securities Agent State Law Examination

2006-04-17

View on SEC IAPD