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Detailed Report
KENNETH J DOUGHERTY
CRD#: 2052474
IA
Investment Adviser
B
Broker
ADVISORS ASSET MANAGEMENT, INC.CRD#: 46727 Fairfield, CT
Registration History
19952000200520102015202020252 FIRMS2019 - Present (6 years)BCOHEN & STEERS SECURITIES, LLC (CRD# 29258)2014 - 2019 (4 years)BAMERICAN CENTURY INVESTMENT SE... (CRD# 17437)2008 - 2014 (6 years)BSELIGMAN ADVISORS, INC. (CRD# 840)1997 - 2008 (10 years)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)1995 - 1997 (2 years)BVAN KAMPEN MERRITT INC. (CRD# 6939)1991 - 1994 (3 years)
License(s)

State Registrations

B
Connecticut 2/12/2019
B
New York 2/12/2019
IA
Connecticut 3/5/2019
B
Vermont 3/24/2023
B
Massachusetts 3/24/2023

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVISORS ASSET MANAGEMENT, INC. (CRD#:46727)
Fairfield, CT
Registered with this firm since 3/5/2019
B
ADVISORS ASSET MANAGEMENT, INC. (CRD#:46727)
Fairfield, CT
Registered with this firm since 2/12/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/17/2014 - 02/13/2019 COHEN & STEERS SECURITIES, LLC (CRD#:29258) NEW YORK, NY
B
 04/08/2008 - 07/25/2014 AMERICAN CENTURY INVESTMENT SERVICES INC. (CRD#:17437) KANSAS CITY, MO
B
 07/08/1997 - 03/17/2008 SELIGMAN ADVISORS, INC. (CRD#:840) NEW YORK, NY
B
 02/13/1995 - 07/23/1997 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SMITHFIELD, RI
B
 05/07/1991 - 12/08/1994 VAN KAMPEN MERRITT INC. (CRD#:6939) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.