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CHRISTOPHER LEE DOUGHTY
CRD#: 2704928
IA
Investment Adviser
B
Broker
GENTIAN FINANCIAL, INC.CRD#: 174216 12740 N RIVER ROAD
MEQUON, WI 53092
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 12740 NORTH RIVER ROAD
MEQUON, WI 53092
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAGENTIAN FINANCIAL, INC. (CRD# 174216)2015 - Present (10 years)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - Present (15 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2006 - Present (18 years)BB. C. ZIEGLER AND COMPANY (CRD# 61)1999 - 2006 (7 years)BGS2 SECURITIES, INC. (CRD# 14745)1998 - 1999 (<1 year)BCLEARY GULL REILAND & MCDEVITT... (CRD# 18716)1997 - 1998 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1996 - 1997 (1 year)IAALLIANCE WEALTH MANAGEMENT, INC. (CRD# 143387)2007 - 2015 (7 years)
License(s)

State Registrations

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Arizona 12/8/2006

B
Nevada 12/13/2018

B
Arkansas 6/3/2024

B
New Hampshire 9/11/2012

B
California 12/8/2006

B
New Jersey 12/8/2006

B
Colorado 6/26/2014

B
New York 2/16/2018

B
Connecticut 9/4/2024

B
North Carolina 12/8/2006

B
Florida 12/8/2006

B
Ohio 2/6/2017

B
Georgia 1/3/2008

B
Oklahoma 4/6/2020

B
Hawaii 12/15/2023

B
Oregon 4/20/2007

B
Idaho 7/16/2018

B
Pennsylvania 1/4/2016

B
Illinois 1/2/2009

B
South Carolina 1/14/2022

B
Indiana 1/2/2013

B
Tennessee 2/19/2021

B
Iowa 12/8/2006

B
Texas 12/8/2006

B
Kansas 12/4/2024

IA
Texas 5/19/2009

B
Kentucky 6/4/2019

B
Utah 11/3/2020

B
Louisiana 6/23/2022

B
Virginia 6/11/2020

B
Massachusetts 1/2/2014

B
Washington 4/30/2021

B
Michigan 12/8/2006

B
West Virginia 3/6/2023

B
Minnesota 12/8/2006

B
Wisconsin 12/8/2006

B
Missouri 3/12/2015

IA
Wisconsin 3/19/2010

B
Nebraska 12/8/2006

B
Wyoming 3/20/2019

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
GENTIAN FINANCIAL, INC. (CRD#:174216)
12740 N RIVER ROAD, MEQUON, WI 53092
Registered with this firm since 1/23/2015

IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
12740 NORTH RIVER ROAD, MEQUON, WI 53092
Registered with this firm since 5/19/2009

B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
12740 NORTH RIVER ROAD, MEQUON, WI 53092
Registered with this firm since 12/8/2006

Previous Registration(s)
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IA
08/28/2007 - 03/26/2015 ALLIANCE WEALTH MANAGEMENT, INC. (CRD#:143387) MILWAUKEE, WI
B
01/01/1999 - 12/11/2006 B. C. ZIEGLER AND COMPANY (CRD#:61) MILWAUKEE, WI
B
10/05/1998 - 01/01/1999 GS2 SECURITIES, INC. (CRD#:14745) MILWAUKEE, WI
B
06/26/1997 - 10/07/1998 CLEARY GULL REILAND & MCDEVITT INC. (CRD#:18716) MILWAUKEE, WI
B
02/22/1996 - 06/17/1997 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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B
Broker
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Investment Adviser
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.