Douglas Jay Scott
Professional Summary
Douglas Jay Scott, who also goes by Douglas Jay Frankenstein, was a registered financial advisor. Douglas was a previously registered financial professional and started their career in finance 1983 - 2005. Douglas had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Douglas Jay Frankenstein
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
43 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
OAK TREE SECURITIES, INC.
Contact Information
Main Address
4049 First Street Suite 129, Livermore, CA 94551-4949Mailing Address
4049 First Street Suite 129, Livermore, CA 94551-4949Phone Number
(925) 245-0570Established
California since 04/30/1986Firm Type
CorporationFiscal Year End
AprilFirm Size
Small# of Employees
4FINRA licenses (19 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
5AUM (Assets Under Management)
$3,689,200Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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