Richard Dougherty

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About Richard Dougherty

Richard A. Dougherty, CFP®, AIF® President

Rick is the President of Echelon Wealth Advisors, LLC. He helps clients invest their assets to accomplish various objectives. Rick continues to work diligently to lead, grow and differentiate Echelon Wealth Advisors, LLC.

After graduating from St. John Fisher College, Rick went on to earn CERTIFIED FINANCIAL PLANNER^™ Practitioner and Accredited Investment Fiduciary^® designations. In addition, Rick holds his Series 7 and 66 FINRA licenses, as well as his Life, Accident and Health insurance certifications.

Rick is also deeply involved in the community, serving on the Executive Committee for the Small Business Council of Rochester. Rick Co-chairs their signature event, the Business Person of the Year Celebration, and serves on the Renee Tschetter Scholarship Golf Tournament Committee, and its philanthropic component, SBC Cares. Rick is also an active member of Rochester Rotary.

When he's not engaged in financial planning or helping clients, Rick enjoys spending time with his wife, two dogs, playing golf and watching Syracuse Basketball.

See Disclosures

General Information

Firm Start Year

2003

No. of Employees

CRD#

5271824

Firm CRD#

39543

Insurance License#

LA1144447

Name of Broker/Dealer

Cambridge Investment Research, Inc.

Name of Custodial Firm

Pershing, NFS, Charles Schwab, Fidelity

Years of Experience in Financial Services

Number of Years with Current Firm

Work with the following types of clients

Individual Investors, Non-Profit Organizations, Investment Clubs, Businesses

Advisory Services Provided

Tax Advice and Services, Annuities, Insurance Planning, Estate Planning & Trusts, Portfolio Management, Retirement Planning, 401K Rollovers, Financial Planning for Individuals, Education Funding and Planning

Compliance

Registered Representative

Investment Advisor Representative

Acknowledged fiduciary

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CFP^®, AIF^®

Securities Licenses

Series 7, Series 66

Insurance and Annuity Licenses

Variable Life, Long Term Care, Variable Annuity, Life, Annuity, Accident, Disability

Non-Financial Organization Memberships

Estate Planning Council of Rochester, Small Business Council of Rochester, Rochester Rotary

Firm Information

Assets Managed by Advisor

137,000,000

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$250,000

Compensation Methods

Commissions, Hourly, Based on Assets

Education

Bachelor of Science - Business, Finance

St. John Fisher College
September 2003 -May 2007

Disclosures

PaladinRegistry.com provides referrals to financial professionals. PaladinRegistry.com is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.

Additional Detailed Disclosures
https://www.paladinregistry.com/disclosure/1877669/paladinregistry-Echelon-Wealth-Advisors,-LLC-detailed-disclosure.html

Disclaimer

Registered Representative, Securities offered throught Cambridge Investment Research, Inc., a Broker/Dealer, Member FINRA/SIPC. Investment Advisor Representative, Cambridge Investment Research Advisors, Inc., A registered Investment Advisor. Cambridge and Westminster are not affiliated.

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Paladin Research Report For:

Echelon Wealth Advisors, LLC