Dougherty & Company LLC Innovative Financial Solutions Nationwide
FACTS WHAT DOES Dougherty & Company LLC
Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing.  Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
What? The types of personal information we collect and share depend on the product or service you have with us. This information can include:
  • Social Security number and personal contact information, such as address, phone number, etc.
  • Assets and Income
  • Account balances and transaction history
When you are no longer our customer, we continue to share your information as described in this notice.
How? All financial companies need to share customers’ personal information to run their everyday business.  In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons Dougherty & Company LLC, (hereinafter referred to as Dougherty) chooses to share; and whether you can limit this sharing.
Reason we can share your personal Information Does
Dougherty Share?
Can you limit this sharing?
For our everyday business purposes—
such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus
Yes No
For our marketing purposes—
to offer our products and services to you
Yes No
For joint marketing with other financial companies No We don’t share
For our affiliates’ everyday business purposes—
information about your transactions and experiences
Yes No
For our affiliates’ everyday business purposes—
information about your creditworthiness
No We don’t share
For our affiliates’ to market you Yes Yes
For non-affiliates’ to market you No We don’t share
To limit our
Send an email to or write us at Dougherty & Company LLC, Attention: Privacy, 90 South 7th Street, Suite 4300, Minneapolis, MN 55402. Indicate what you wish to opt out of.
Questions? Call 1-800-328-4000 or go to
Who we are
Who is providing this notice? Dougherty & Company LLC
What we do
How does Dougherty
protect my personal information?
To protect your personal information from unauthorized access and use, we use security measures that comply with federal law.  These measures include computer safeguards and secured files and buildings.
How does Dougherty
collect my personal information?
We collect your personal information, for example, when you
  • Open an account or direct us to buy/sell your securities
  • Provide account information or give us your contact information
  • Tell us about your investment portfolio
We also collect your personal information from others, such as background check companies, affiliates, or other companies.
Why can’t I limit all sharing? Federal law gives you the right to limit only
  • Sharing for affiliates’ everyday business purposes—information about your creditworthiness
  • Affiliates from using your information to market to you
  • Sharing for non-affiliates to market to you
State laws and individual companies may give you additional rights to limit sharing.
Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies.
  • Dougherty affiliates include companies Dougherty Insurance Agency LLC and Dougherty Wealth Advisers LLC.
Nonaffiliates Companies not related by common ownership or control. They can be financial and nonfinancial companies.
  • Dougherty does not share with non-affiliates so they can market to you
Joint marketing A formal agreement between nonaffiliated financial companies that together market financial products or services to you.
  • Dougherty does not jointly market.
Other important information

We have entered into a protocol for broker recruiting with certain other brokerage firms.  If a representative leaves and joins a new firm, they may take your basic personal information.  Specifically, name, address, telephone number, email address and account title.  If you do not wish to have your representative take this information you must instruct us as directed by the instructions to limit our sharing.