Dougherty & Company LLC Innovative Financial Solutions Nationwide

General Disclosure

Dougherty & Company LLC, Dougherty Mortgage LLC, Dougherty Funding LLC, Dougherty Equipment Finance LLC, Dougherty Wealth Advisers LLC and/or any affiliates (“Dougherty”) prepared the information accessible herein. By accessing this information, you agree to the following.

The information contained herein has been compiled from sources believed but not guaranteed to be accurate, reliable or purported to be complete. The information on this site is not intended to be used as the primary basis of investment decisions. It is for informational purposes only and is not a representation by us or an offer or a solicitation of an offer to sell or buy any security. Any opinions or estimates expressed are statements of judgment on this date and are subject to future change without notice as is other information.

The materials provided belong to Dougherty. They may not be copied, reproduced, republished, uploaded, posted, altered, transmitted or distributed in any way, without the prior written permission of Dougherty. Clients of Dougherty may print, download or display one copy of each report herein solely for their personal, noncommercial use provided that the reports are kept intact and include all notes, disclosures and copyright notices. Materials may not be modified or used for any other purposes without the prior written consent of Dougherty. Dougherty reserves the right, at its discretion to change, delete and update portions of this website at any time.

Dougherty is not a bank or a credit union, and the products & services Dougherty offers are not insured by the FDIC.

Any quotations provided through this website may be delayed and may not reflect the prices at which the security may actually be bought or sold. You should not make any decisions to buy or sell securities based on such quotations.

Because of individual requirements and risk (i.e. credit, liquidity, market, volatility) involved with securities, securities mentioned herein should not be construed as suitable for all accounts. Any securities mentioned or perceived recommendations made herein are intended for investors who are aware of, financially able to bear and suited to the inherent risks involved. Both the general sense and suitability for individual acquisition or sale of any security should be a matter of discussion between an investment executive and client before any transactions occur. Dougherty does not give legal or tax advice. Any reference to tax information, such as AMT, may not be applicable to all clients given different client tax statuses. You should consult your own tax advisor regarding the tax consequences of a specific transaction.

Income from investments may fluctuate. The price or value of the investments, to which the research or other information relates, either directly or indirectly, may fall or rise against the interest of investors. Any prices included herein are indicative only and may vary significantly from prices available from other sources. An indicative price of a transaction/security/instrument may differ substantially from an actionable value. Indicative price and availability are subject to change without notice.

Reference is made throughout this website to recent transactions. These select transactions Illustrate the various transaction types Dougherty has conducted.

The information or opinions provided by third parties via links from this websites are beyond Dougherty’s control. Therefore, they are believed to be reliable, but accuracy and completeness cannot be guaranteed.

To help the government fight the funding of terrorism and money laundering activities, Federal Law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.

What this means for you: When you open an account, we will ask for your name address, date of birth and other information that will allow us to identify you. We may ask to see your driver's license or other identifying documents.

Materials in the site may not be appropriate for or available in all jurisdictions.

Additional information is available upon request.

Certain offerings done by Dougherty & Company LLC are made only by the means of the offering document, as applicable. Such offering documents can be obtained from Dougherty & Company LLC. You must read carefully the official document before you decide whether to invest in the security.

Any securities described may not be qualified for purchase in all jurisdictions and are subject to change and availability. Past performance does not guarantee future results. Additionally, certain securities, such as, bonds may be subject to optional redemption prior to maturity.

From time to time, Dougherty & Company LLC, or its officers, directors or agents, or members of their families or their clients may have positions in, may make purchases or sales of in the open market or otherwise, and may own options, rights or warrants to purchase securities mentioned on this website or otherwise. Dougherty & Company LLC as a market maker may act as a principal or agent with respect to the sale or purchase of securities mentioned. Dougherty & Company LLC may also have operated as a manager or co-manager of a public offering of securities for this company within the past three years, or a member of Dougherty & Company LLC may have served on the board of directors for this company.

If you have an account or other relationship with Dougherty & Company LLC, that relationship is governed by the agreement specific to that account or arrangement, including without limitation your account agreement. This site allows you to communicate electronically with Dougherty & Company by sending an e-mail message. You agree not to use e-mail for the transmission of orders to purchase or sell a security, request certain services such as fund transfers, address changes or any other time sensitive instructions.

The Financial Industry Regulatory Authority provides information for investors. We encourage you to visit their website at

Dougherty & Company LLC, 90 South Seventh Street, Suite 4300, Minneapolis, MN 55402. Member FINRA and SIPC. Regarding SIPC, securities in your account protected up to $500,000. For details, please see