Individual Firm
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CHARLES LEO DOUGHERTY
CRD#: 710916
IA
B
MORGAN STANLEYCRD#: 149777 350 East Las Olas Boulevard
Suite 1500
Fort Lauderdale, FL 33301
Suite 1500
Fort Lauderdale, FL 33301
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6/13/2002
Customer Dispute
Denied
State Registrations
B
Alabama 11/18/2022
B
Montana 6/20/2018
B
Arizona 11/18/2022
B
Nebraska 11/18/2022
B
California 6/1/2009
B
Nevada 11/18/2022
B
Colorado 6/1/2009
B
New Hampshire 11/18/2022
B
Connecticut 3/26/2010
B
New Jersey 11/18/2022
B
Delaware 11/18/2022
B
New York 6/1/2009
B
District of Columbia 11/15/2022
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Ohio 6/1/2009
IA
Florida 6/1/2009
B
Oklahoma 11/18/2022
B
Georgia 6/1/2009
B
Oregon 11/18/2022
B
Hawaii 11/15/2022
B
Pennsylvania 4/13/2015
B
Illinois 8/16/2010
B
Rhode Island 6/1/2009
B
Indiana 11/18/2022
B
South Carolina 7/11/2018
B
Kansas 3/15/2024
B
Tennessee 11/18/2022
B
Kentucky 2/26/2018
B
Texas 6/1/2009
B
Louisiana 11/17/2022
IA
Texas 4/15/2020
B
Maine 11/23/2022
B
Utah 4/10/2018
B
Maryland 11/17/2022
B
Vermont 3/15/2024
B
Massachusetts 1/27/2016
B
Virginia 7/15/2019
B
Michigan 10/4/2011
B
Washington 11/17/2022
B
Minnesota 6/1/2009
B
West Virginia 11/18/2022
B
Mississippi 11/23/2022
B
Wisconsin 6/1/2009
B
Missouri 6/1/2009
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/11/2009 - 06/01/2009 | FT. LAUDERDALE, FL | |
B | 04/24/2009 - 06/01/2009 | FT. LAUDERDALE, FL | |
IA | 07/01/2003 - 04/27/2009 | FORT LAUDERDALE, FL | |
B | 07/01/2003 - 04/27/2009 | FORT LAUDERDALE, FL | |
IA | 01/03/1997 - 07/01/2003 | FORT LAUDERDALE, FL | |
B | 09/15/1989 - 07/01/2003 | NEW YORK, NY | |
B | 10/27/1980 - 09/15/1989 | NEW YORK, NY | |
B | 07/01/1980 - 07/21/1981 |
07/01/1980 - 07/21/1981
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.