Douglas S. Pysher
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 Siegel Pysher was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1983. Douglas had worked at 9 firms and has passed the Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2016 - May 31, 2017
CREWS & ASSOCIATES, INC.
May 5, 2014 - January 12, 2016
CANTOR FITZGERALD & CO.
September 4, 2008 - April 9, 2014
E.J. DE LA ROSA & CO., INC.
February 6, 2006 - December 31, 2007
ALTA CAPITAL GROUP, LLC
May 10, 2002 - January 4, 2006
ADVEST, INC.
November 15, 2000 - March 1, 2002
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
June 13, 1997 - November 6, 2000
WACHOVIA SECURITIES, INC.
April 8, 1985 - April 29, 1997
LEHMAN BROTHERS INC.
May 25, 1983 - April 26, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
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
Series 5
Date: 6/22/1983
Interest Rate Options ExaminationCurrent Firm
CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
Contact information
SEC notice filing (18 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREWS CORE HOLDING COMPANY | OWNER | |
| BEARDSLEY, SCOTT ARTHUR | SECRETARY OF THE BOARD | 2349866 |
| BUMPERS, JOSEPH PARROTT | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 4336359 |
| CLAY, DENNIS CHARLES | CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE | 1233857 |
| JONES, JAMES STEPHEN | PRESIDENT, DIRECTOR | 502536 |
| MEYER, DAMON CHRISTIAN | CHIEF COMPLIANCE OFFICER | 4133916 |
Regulatory assets under management
| Total Number of Accounts | 336 |
| AUM (Assets Under Management) | $ 149,386,233 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
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.
