Douglas A. Throckmorton
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 Alan Throckmorton, who also goes by Doug Throckmorton, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1983. Douglas had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2014 - October 1, 2015
ALLIANCE FINANCIAL GROUP, INC.
August 13, 2012 - October 19, 2012
VISION FINANCIAL MARKETS LLC
August 6, 2001 - June 12, 2012
PENSON FINANCIAL SERVICES, INC.
July 20, 2000 - August 7, 2001
SERVICE ASSET MANAGEMENT COMPANY
March 11, 1996 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
October 26, 1990 - March 11, 1996
HILLTOP SECURITIES INC.
April 13, 1987 - October 1, 1990
DFW CLEARING, INC.
December 15, 1983 - March 30, 1987
NUVEEN SECURITIES, LLC
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
ALLIANCE FINANCIAL GROUP, INC.
CRD#: 28538 / SEC#: , 8-43788
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE FINANCIAL HOLDINGS, LLC | SHAREHOLDER | |
| BEST, CHARLES MCCOMBER | CHAIRMAN/CEO/DIRECTOR | 20486 |
| BROTT, CLIFFORD JOHN JR | SENIOR VICE PRESIDENT/DIRECTOR | 31829 |
| BURNS, KAREN RAYBURN | VICE PRESIDENT/CCO/DIRECTOR/SECRETARY | 2482528 |
| GENDLER, STEVEN HERBERT | SENIOR VICE PRESIDENT/DIRECTOR | 1075091 |
| LISTON, JACK D III | PRESIDENT/COO/DIRECTOR | 2405320 |
| STERLING, DONALD WILLIAM | FINOP | 1192425 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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