Douglas J. Torretta
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 Joseph Torretta, who also goes by Doug J Torretta, Doug Torretta, Douglas J Torretta, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1988. Douglas had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2018 - January 9, 2020
EDWARD JONES
July 27, 2018 - January 9, 2020
EDWARD JONES
March 8, 2018 - July 31, 2018
HORNOR, TOWNSEND & KENT, LLC
June 12, 2017 - July 31, 2018
HORNOR, TOWNSEND & KENT, LLC
March 25, 2017 - May 22, 2017
MML INVESTORS SERVICES, LLC
March 25, 2017 - May 22, 2017
MML INVESTORS SERVICES, LLC
March 8, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
October 7, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
April 12, 2012 - August 18, 2015
JANNEY MONTGOMERY SCOTT LLC
April 9, 2012 - August 18, 2015
JANNEY MONTGOMERY SCOTT LLC
April 9, 2010 - April 14, 2011
JHS CAPITAL ADVISORS, LLC
February 26, 2010 - April 14, 2011
JHS CAPITAL ADVISORS, LLC
June 1, 2009 - March 1, 2010
MORGAN STANLEY
June 1, 2009 - March 1, 2010
MORGAN STANLEY
November 4, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 2, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 11, 2001 - November 3, 2004
UBS FINANCIAL SERVICES INC.
August 2, 1996 - November 3, 2004
UBS FINANCIAL SERVICES INC.
June 27, 1990 - August 14, 1996
PIPER SANDLER & CO.
April 12, 1988 - March 28, 1990
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
