DOUGHERTY & COMPANY LLC X-17A-5 (2020-02-25) — Broker-dealer annual report

Full text of DOUGHERTY & COMPANY LLC's X-17A-5 filed 2020-02-25 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.

• Company: DOUGHERTY & COMPANY LLC
• Form: X-17A-5
• Filed: 2020-02-25
• Period: 2019-12-31
• Accession: 0000215674-20-000003
• CIK: 215674
• File #: 8-21937
• Material weakness: No
• Auditor: RSM US LLP
• Auditor location: Minneapolis, MN
• Contact: Michelle Sandberg
• Phone: 612-376-4027
• Signed by: Michelle Sandberg (Chief Financial Officer)

Document text (excerpt)

X-17A-5 0000215674 XXXXXXXX LIVE false false false 01-01-2019 12-31-2019 Broker-dealer N DOUGHERTY & COMPANY LLC 90 SOUTH SEVENTH ST-STE 4300 MINNEAPOLIS MN 55402-4108 Michelle Sandberg 612-376-4027 RSM US LLP 801 Nicollet Mall, Suite 1100 Minneapolis MN 55402 Certified Public Accountant Michelle Sandberg DOUGHERTY & COMPANY LLC 12-31-2019 Michelle Sandberg Chief Financial Officer Y

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• X-17A-5 — 2016-02-29
• X-17A-5 — 2015-02-20
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Original filing on SEC EDGAR (source of record)