Douglas G. Peckumn

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CRD#: 1032718

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.

Douglas Gene Peckumn was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1982. Douglas had worked at 4 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

October 1, 2007 - December 31, 2024

DMKC ADVISORY SERVICES, LLC

RIA

CRD#: 145112

DES MOINES, IA

Past

April 13, 2000 - December 31, 2024

D.M. KELLY & COMPANY

CRD#: 38770

DES MOINES, IA

Past

March 2, 1998 - April 19, 2000

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

April 5, 1982 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DMKC ADVISORY SERVICES, LLC

CRD#: 145112 / SEC#: 801-68395

RIA

Registered Investment Advisory firm - (9/28/2007 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/25/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/1/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/20/1982

General Securities Representative Examination

Current Firm

DMKC ADVISORY SERVICES, LLC

CRD#: 145112 / SEC#: 801-68395

RIA

Registered Investment Advisory firm - (9/28/2007 Approved)

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Contact information

Main Address

3900 Ingersoll Avenue Suite 300, Des Moines, IA 50312

Mailing Address

Phone number

(515) 221-1133

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 AND 2B 032025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	818
AUM (Assets Under Management)	$ 668,680,393

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/18/2025	Cover Page	Report
09/20/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Douglas G. Peckumn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

D.M. KELLY & COMPANY

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

Primary Firm SEC Registration

DMKC ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/25/2007

Series 63

Date: 3/1/1982

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/20/1982

Current Firm

DMKC ADVISORY SERVICES, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DMKC ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Contact information

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