Douglas Alan Throckmorton
Professional Summary
Douglas Alan Throckmorton, who also goes by Doug Throckmorton, was a registered financial advisor. Douglas was a previously registered financial professional and started their career in finance 1983 - 2015. Douglas had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Doug Throckmorton
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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.
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.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
Past
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Current Firm
ALLIANCE FINANCIAL GROUP, INC.
Contact Information
Established
Texas since 11/14/1986Firm Type
CorporationFiscal Year End
DecemberDocuments
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 |
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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.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1983About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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