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DS

Douglas F. Samuels

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CRD#: 1019536
DS

Professional summary

Douglas Frederick Samuels was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Douglas is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Douglas had worked at 1 firm, which includes JOHN DAWSON & ASSOCIATES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 29, 1982 - October 14, 1998

JOHN DAWSON & ASSOCIATES, INC.

BD
CRD#: 6347
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/21/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/3/1991
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/2/1989
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/4/1989
Financial and Operations Principal Examination

Current Firm

JD
JOHN DAWSON & ASSOCIATES, INC.
JOHN DAWSON & ASSOCIATES, INC.

CRD#: 6347 / SEC#: , 8-17314

BD
Cancelled by SEC on 06/13/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/28/1984
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

JOHN DAWSON & ASSOCIATES, INC.

CRD#: 6347

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