Advisor at Dougherty & Associates Financial Advisors, Inc.
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Dougherty & Associates Financial Advisors, Inc.
Location
Buffalo, MN 55313
Credentials
Series 63, Series 65
Industry experience
17 years
Lisa Geyen is a financial advisor at Dougherty & Associates Financial Advisors, Inc. with 17 years of industry experience. She holds Series 63 and Series 65 registrations and has worked at Dougherty & Associates and Independent Financial Group during her career. Geyen also assists in compliance activities for the firm. Dougherty & Associates Financial Advisors, Inc. is a team-based registered investment adviser serving individuals, retirement plans, trusts, estates, charitable organizations, and businesses. The firm manages approximately $354 million across over 1,000 client accounts, offering discretionary and non-discretionary portfolio management with an investment approach that includes mutual funds, ETFs, individual equities, and fixed income.
Based on Dougherty & Associates Financial Advisors, Inc.
Based on Dougherty & Associates Financial Advisors, Inc.
Financial consulting services fees range from $25 to $5,000, negotiable.
$0 - $4,999,999: 1.50% $5,000,000 - $9,999,999: 1.00% $10,000,000+: 0.80%
Registered representatives receive commission-based compensation on securities and insurance products separate from advisory fees.
103 Marty Drive, Suite 101
Buffalo, MN 55313
Minnesota
Dougherty & Associates Financial Advisors, Inc.
2020 - Present (6 years)
Independent Financial group
2020 - Present (6 years)
RETIRED
2019 - 2019 (1 year)
Dougherty & Associates Financial Advisors, Inc.
2012 - 2018 (6 years)
Independent Financial group
2011 - 2018 (7 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 63, Series 65
St. Michael, MN
Investment Research Corporation
Series 63, Series 65
Big Lake, MN
Johnson Capital Management, LLC
Series 65
Annandale, MN
AlphaCopia
Series 65
Annandale, MN
AlphaCopia
CFA®, Series 63
Delano, MN
Stapleton Asset Management, LLC
Series 66
Buffalo, MN
Dougherty & Associates Financial Advisors, Inc.
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