Richard Dougherty has been an investment adviser representative at Uniting Wealth Partners since June 2025, and is not listed among the firm’s executive officers or direct owners. Richard Dougherty holds a B.A. in Corporate Finance from St. John Fisher University.
Uniting Wealth Partners LLC is a Denver, CO firm with $935M under management, 854 clients and 11 advisers across 6 offices, as of its August 2026 filing.
Richard Dougherty is a partner of Uniting Wealth Partners, based in Bella Vista, Arkansas. He has 15 years of experience working with individuals and families to translate their financial goals into a comprehensive wealth plan. He began his career in 2007 and advised clients with Echelon Wealth Advisors and Naviter Wealth before joining the firm.
Richard Dougherty’s longest registration was 14 years at Cambridge Investment Research Advisors, Inc. (2009–2023). Before joining Uniting Wealth Partners in 2025, Richard Dougherty was registered through Naviter Wealth, LLC and Cambridge Investment Research Advisors, Inc.
- Uniting Wealth PartnersCurrent– present · 1 yearRochester, NY · Adviser representative · Firm CRD 332317
- Naviter Wealth, LLC– · 2 yearsRochester, NY · Adviser representative · Firm CRD 311508
- Cambridge Investment Research Advisors, Inc.– · 14 yearsRochester, NY · Adviser representative · Firm CRD 134139
Professional designations
Listed by Uniting Wealth Partners
- Certified Financial Planner™ (CFP®)
- Accredited Investment Fiduciary® (AIF®)
Investment adviser representative registrations
Richard Dougherty is registered as an investment adviser representative in New York, since June 2025.
- New YorkSince 25 June 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 29 October 2008 |
| Series 7 | General Securities Representative Examination | 29 July 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Richard A Dougherty
- CRD
- 5271824
- Firm
- Uniting Wealth Partners · CRD 332317
- Office
- 1441 Monroe Ave, Rochester, NY 14618
- Registration
- Investment adviser registration
- In the industry since
- July 2008
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- unitingwealthpartners.com
Where does Richard Dougherty work?
Richard Dougherty is an investment adviser representative registered through Uniting Wealth Partners LLC since June 2025, and is not listed among the firm’s executive officers or direct owners.
Is Richard Dougherty a financial advisor?
Yes. Richard Dougherty has a current investment-adviser registration in New York, through Uniting Wealth Partners since June 2025.
How many years of experience does Richard Dougherty have?
Richard Dougherty has 18 years in the financial industry, since July 2008, across 3 adviser firms.
What exams has Richard Dougherty passed?
Richard Dougherty has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in July 2008. FINRA credited Richard Dougherty with the SIE, which began in October 2018.
Where did Richard Dougherty work before Uniting Wealth Partners?
Before Uniting Wealth Partners, Richard Dougherty was registered through Cambridge Investment Research Advisors, Inc., March 2009 to April 2023.
Where is Richard Dougherty based?
Richard Dougherty’s registered office is in Rochester, NY.
Is Richard Dougherty registered with FINRA?
No. Richard Dougherty has no current broker registration.
Is Richard Dougherty a CFP?
Uniting Wealth Partners lists Richard Dougherty with the CFP credential (“Certified Financial Planner™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Richard Dougherty biography, unitingwealthpartners.com
How can I verify Richard Dougherty’s record?
Search CRD 5271824 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Dougherty’s full registration record.
