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David Dougherty

Citizens Securities, Inc.

Mount Laurel, NJ

Conshohocken, PA

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Current Employers
Citizens Securities, Inc.

One Citizens Bank Way Jcb135, Johnston, RI 02919 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2022-07-13
MN RA APPROVED 2022-05-27
FL RA APPROVED 2022-05-18
MO RA APPROVED 2022-05-16
MD RA APPROVED 2022-05-13
DC RA APPROVED 2022-05-12
GA RA APPROVED 2022-04-28
SC RA APPROVED 2022-04-27
AZ RA APPROVED 2022-04-19
NV RA APPROVED 2022-04-19
PR RA APPROVED 2022-04-19
NC RA APPROVED 2022-04-18
WV RA APPROVED 2022-04-18
NY RA APPROVED 2022-04-13
CO RA APPROVED 2022-04-12
IL RA APPROVED 2022-04-12
SD RA APPROVED 2022-04-12
AR RA APPROVED 2022-04-11
HI RA APPROVED 2022-04-11
KS RA APPROVED 2022-04-11
LA RA APPROVED 2022-04-11
NM RA APPROVED 2022-04-11
ND RA APPROVED 2022-04-11
OK RA APPROVED 2022-04-11
RI RA APPROVED 2022-04-11
VA RA APPROVED 2022-04-11
AK RA APPROVED 2022-04-08
DE RA APPROVED 2022-04-08
IA RA APPROVED 2022-04-08
MS RA APPROVED 2022-04-08
NJ RA APPROVED 2022-04-08
OR RA APPROVED 2022-04-08
WI RA APPROVED 2022-04-08
AL RA APPROVED 2022-04-06
CA RA APPROVED 2022-04-06
CT RA APPROVED 2022-04-06
ID RA APPROVED 2022-04-06
MI RA APPROVED 2022-04-06
NE RA APPROVED 2022-04-06
NH RA APPROVED 2022-04-06
PA RA APPROVED 2022-04-06
IN RA APPROVED 2022-04-05
KY RA APPROVED 2022-04-05
ME RA APPROVED 2022-04-05
OH RA APPROVED 2022-04-05
TX RA APPROVED_RES 2022-04-05
UT RA APPROVED 2022-04-05
VT RA APPROVED 2022-04-05
MT RA APPROVED 2022-04-04
  • WA RA
    APPROVED
    Since 2022-07-13
  • MN RA
    APPROVED
    Since 2022-05-27
  • FL RA
    APPROVED
    Since 2022-05-18
  • MO RA
    APPROVED
    Since 2022-05-16
  • MD RA
    APPROVED
    Since 2022-05-13
  • DC RA
    APPROVED
    Since 2022-05-12
  • GA RA
    APPROVED
    Since 2022-04-28
  • SC RA
    APPROVED
    Since 2022-04-27
  • AZ RA
    APPROVED
    Since 2022-04-19
  • NV RA
    APPROVED
    Since 2022-04-19
  • PR RA
    APPROVED
    Since 2022-04-19
  • NC RA
    APPROVED
    Since 2022-04-18
  • WV RA
    APPROVED
    Since 2022-04-18
  • NY RA
    APPROVED
    Since 2022-04-13
  • CO RA
    APPROVED
    Since 2022-04-12
  • IL RA
    APPROVED
    Since 2022-04-12
  • SD RA
    APPROVED
    Since 2022-04-12
  • AR RA
    APPROVED
    Since 2022-04-11
  • HI RA
    APPROVED
    Since 2022-04-11
  • KS RA
    APPROVED
    Since 2022-04-11
  • LA RA
    APPROVED
    Since 2022-04-11
  • NM RA
    APPROVED
    Since 2022-04-11
  • ND RA
    APPROVED
    Since 2022-04-11
  • OK RA
    APPROVED
    Since 2022-04-11
  • RI RA
    APPROVED
    Since 2022-04-11
  • VA RA
    APPROVED
    Since 2022-04-11
  • AK RA
    APPROVED
    Since 2022-04-08
  • DE RA
    APPROVED
    Since 2022-04-08
  • IA RA
    APPROVED
    Since 2022-04-08
  • MS RA
    APPROVED
    Since 2022-04-08
  • NJ RA
    APPROVED
    Since 2022-04-08
  • OR RA
    APPROVED
    Since 2022-04-08
  • WI RA
    APPROVED
    Since 2022-04-08
  • AL RA
    APPROVED
    Since 2022-04-06
  • CA RA
    APPROVED
    Since 2022-04-06
  • CT RA
    APPROVED
    Since 2022-04-06
  • ID RA
    APPROVED
    Since 2022-04-06
  • MI RA
    APPROVED
    Since 2022-04-06
  • NE RA
    APPROVED
    Since 2022-04-06
  • NH RA
    APPROVED
    Since 2022-04-06
  • PA RA
    APPROVED
    Since 2022-04-06
  • IN RA
    APPROVED
    Since 2022-04-05
  • KY RA
    APPROVED
    Since 2022-04-05
  • ME RA
    APPROVED
    Since 2022-04-05
  • OH RA
    APPROVED
    Since 2022-04-05
  • TX RA
    APPROVED_RES
    Since 2022-04-05
  • UT RA
    APPROVED
    Since 2022-04-05
  • VT RA
    APPROVED
    Since 2022-04-05
  • MT RA
    APPROVED
    Since 2022-04-04

Branch Locations

3100 Route 38 Nj185, Mount Laurel, NJ 08054 • United States

300 Barr Harbor Drive, Suite 450 Mailstop: Pabh10, Conshohocken, PA 19428 • 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
Pnc Investments Llc Mt.LAurel NJ 08/2014 06/2017
Santander Bank, Na Boston MA 06/2017 04/2022
Santander Securities, Llc Dorchester MA 06/2017 09/2019
Santander Securities, Llc Dorchester MA 09/2019 04/2022
Citizens Securities, Inc. Mount Laurel NJ 04/2022 Present
Previous Registrations
  • 2017-07-03 → 2022-04-11
    Santander Securities Llc
    Philadelphia, PA
    Philadelphia, PA
    Philadelphia, PA
    Philadelphia, PA
    Philadelphia, PA
    Wyncote, PA
    Cheltenham, PA
    Villanova, PA
    Burlington, NJ
    Bethlehem, PA
    Bensalem, PA
    Bensalem, PA
    Bethlehem, PA
    Villanova, PA
    Conshohocken, PA
  • 2005-05-13 → 2017-06-16
    Pnc Wealth Management Llc
    Marlton, NJ
    Mt. Laurel, NJ
    Mount Laurel, NJ
    Mount Laurel, NJ
    Delran, NJ
    Cinnaminson, NJ
    Voorhees, NJ
  • 2002-05-03 → 2005-05-02
    Wells Fargo Clearing Services, Llc
    Burlington Township, NJ
Other Businesses

1. Uber, livery driver, non-investment related, start date 08/02/2021, Beverly, NJ, 60 hours monthly, none during trading hours. 2. POA for Mother Patricia A. Dougherty. Start date 5/15/2012.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-05-12
S66 Uniform Combined State Law Examination 1999-07-16
  • S65 Uniform Investment Adviser Law Examination
    2022-05-12
  • S66 Uniform Combined State Law Examination
    1999-07-16
Other Names
  • David Robert Dougherty

View on SEC IAPD

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