Thomas Kevin Dougherty

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/1990 → Present
  Rampart Insurance Group
  Lake Success, NY
• 09/2003 → Present
  Blue Chip Financial
  Melville, NY
• 09/2014 → 06/2021
  Voya Financial Advisors
  Huntington Station, NY
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1. NAME OF ENTITY: Blue Chip Financial; Yes; 200 BROADHOLLOW RD STE 207 MELVILLE; MELVILLE; NY; 11747; financial services; owner; 9/8/2003; 160; 160; sales of insurance and securities products; 2. NAME OF ENTITY: JAF Associates; No; 100 Merrick Rd STE 526 West; Rockville Centre; NY; 11570; property and casualty insurance agency; Risk Manager; 7/1/2012; 100; 100; help clients manage risk; 3. NAME OF OTHER BUSINESS: ANCIENT ORDER OF HIBERNIAN; INVESTMENT RELATED: 1/2021; ADDRESS: 1 MILL DAM RD, HUNTINGTON, NY 11743; NATURE OF BUSINESS: CHARITABLE ORGANIZATION; START DATE: 1/2021; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: HELP GUIDE THE ORGANIZATION IN A POSITIVE WAY TO ACCOMPLISH ITS CHARITABLE MISSION; 4. NAME OF OTHER BUSINESS: THE SPIRT OF HUNTINGTON ART CENTER; INVESTMENT RELATED: NO; ADDRESS: 2 MELVILLE RD, HUNTINGTON STATION, NY 11746; NATURE OF BUSINESS: BOARD; START DATE: 6/2025; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REVIEW THE BUDGET EXPENSES & INCOME; 5. NAME OF OTHER BUSINESS: LIEG; INVESTMENT RELATED: NO; ADDRESS: 185 PRICE PKWY FARMINGDALE, NY 11735; NATURE OF BUSINESS: BUSINESS NETWORKING GROUP; START DATE: 01/2020; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ENSURE ANNUAL DUES ARE PAID, ARRANGE OUTSIDE ACTIVITIES, ORDER FOOD FOR MEETINGS, FACILITATE THE TAX RETURNS PREPARED BY THE CPA ;

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-28
• S63 Uniform Securities Agent State Law Examination
  1993-07-14