Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
David Dougherty
DAVID ROBERT DOUGHERTY
CRD#: 3228470
IA
Investment Adviser
B
Broker
CITIZENS SECURITIES, INC.CRD#: 39550 3100 Route 38
NJ185
Mount Laurel, NJ 08054
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2002 - 2005 (3 years)2 FIRMS2005 - 2017 (12 years)2 FIRMS2017 - 2022 (4 years)2 FIRMS2022 - Present (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)1999 - 2002 (2 years)
License(s)

State Registrations

B
Alabama 4/5/2022
IA
Montana 4/4/2022
IA
Alabama 4/6/2022
B
Montana 4/5/2022
B
Alaska 4/5/2022
B
Nebraska 4/5/2022
IA
Alaska 4/8/2022
IA
Nebraska 4/6/2022
B
Arizona 4/5/2022
B
Nevada 4/5/2022
IA
Arizona 4/19/2022
IA
Nevada 4/19/2022
B
Arkansas 4/5/2022
B
New Hampshire 4/5/2022
IA
Arkansas 4/11/2022
IA
New Hampshire 4/6/2022
B
California 4/5/2022
B
New Jersey 4/5/2022
IA
California 4/6/2022
IA
New Jersey 4/8/2022
B
Colorado 4/5/2022
B
New Mexico 4/5/2022
IA
Colorado 4/12/2022
IA
New Mexico 4/11/2022
B
Connecticut 4/5/2022
B
New York 4/5/2022
IA
Connecticut 4/6/2022
IA
New York 4/13/2022
B
Delaware 4/5/2022
B
North Carolina 4/5/2022
IA
Delaware 4/8/2022
IA
North Carolina 4/18/2022
B
District of Columbia 4/5/2022
B
North Dakota 4/5/2022
IA
District of Columbia 5/12/2022
IA
North Dakota 4/11/2022
B
Florida 4/5/2022
IA
Ohio 4/5/2022
IA
Florida 5/18/2022
B
Ohio 4/6/2022
B
Georgia 4/5/2022
B
Oklahoma 4/5/2022
IA
Georgia 4/28/2022
IA
Oklahoma 4/11/2022
B
Hawaii 4/5/2022
B
Oregon 4/5/2022
IA
Hawaii 4/11/2022
IA
Oregon 4/8/2022
B
Idaho 4/5/2022
IA
Pennsylvania 4/4/2022
IA
Idaho 4/6/2022
B
Pennsylvania 4/5/2022
B
Illinois 4/5/2022
B
Puerto Rico 4/5/2022
IA
Illinois 4/12/2022
IA
Puerto Rico 4/19/2022
B
Indiana 4/5/2022
B
Rhode Island 4/5/2022
IA
Indiana 4/5/2022
IA
Rhode Island 4/11/2022
B
Iowa 4/5/2022
B
South Carolina 4/5/2022
IA
Iowa 4/8/2022
IA
South Carolina 4/27/2022
B
Kansas 4/5/2022
B
South Dakota 4/5/2022
IA
Kansas 4/11/2022
IA
South Dakota 4/12/2022
B
Kentucky 4/5/2022
B
Tennessee 4/5/2022
IA
Kentucky 4/5/2022
B
Texas 4/5/2022
B
Louisiana 4/5/2022
IA
Texas 4/5/2022
IA
Louisiana 4/11/2022
B
Utah 4/5/2022
B
Maine 4/5/2022
IA
Utah 4/5/2022
IA
Maine 4/5/2022
B
Vermont 4/5/2022
B
Maryland 4/5/2022
IA
Vermont 4/5/2022
IA
Maryland 5/13/2022
B
Virginia 4/5/2022
B
Massachusetts 4/5/2022
IA
Virginia 4/11/2022
B
Michigan 4/5/2022
B
Washington 4/5/2022
IA
Michigan 4/6/2022
IA
Washington 7/13/2022
B
Minnesota 4/5/2022
B
West Virginia 4/5/2022
IA
Minnesota 5/27/2022
IA
West Virginia 4/18/2022
B
Mississippi 4/5/2022
B
Wisconsin 4/5/2022
IA
Mississippi 4/8/2022
IA
Wisconsin 4/8/2022
B
Missouri 4/5/2022
B
Wyoming 4/5/2022
IA
Missouri 5/16/2022

SRO Registrations

B
 FINRA

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
CITIZENS SECURITIES, INC. (CRD#:39550)
3100 Route 38 NJ185, Mount Laurel, NJ 08054
Registered with this firm since 4/4/2022
B
CITIZENS SECURITIES, INC. (CRD#:39550)
3100 Route 38 NJ185, Mount Laurel, NJ 08054
Registered with this firm since 4/5/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/03/2017 - 04/11/2022 SANTANDER SECURITIES (CRD#:41791) Bensalem, PA
B
 06/30/2017 - 04/11/2022 SANTANDER SECURITIES LLC (CRD#:41791) Bensalem, PA
IA
 05/13/2005 - 06/16/2017 PNC INVESTMENTS (CRD#:129052) MARLTON, NJ
B
 05/13/2005 - 06/16/2017 PNC INVESTMENTS (CRD#:129052) MARLTON, NJ
IA
 05/03/2002 - 05/02/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) BURLINGTON TOWNSHIP, NJ
B
 04/03/2002 - 05/02/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
 10/06/1999 - 03/19/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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.