William C. Douglas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Clow Douglas JR, who also goes by William Clow (jr) Douglas, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 9 firms and has passed the Series 66, SIE, Series 79, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2007 - May 8, 2018
WELLS FARGO SECURITIES, LLC
June 8, 2005 - December 14, 2007
A. G. EDWARDS & SONS, INC.
August 4, 2003 - November 26, 2007
A. G. EDWARDS & SONS, INC.
May 31, 1994 - July 16, 2003
GEORGE K. BAUM & COMPANY
March 8, 1990 - May 31, 1994
GKB, INC.
February 20, 1987 - March 19, 1990
DBLKM INC.
September 20, 1983 - June 4, 1984
UBS ASSET MANAGEMENT (US) INC.
August 9, 1983 - March 17, 1986
UBS FINANCIAL SERVICES INC.
May 26, 1982 - May 4, 1983
BOETTCHER & COMPANY, INC.
December 10, 1981 - April 13, 1982
COLUMBINE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
