Douglas W. Hemke
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 William Hemke, who also goes by Doug Hemke, was a registered financial advisor .
Douglas is a previously registered financial advisor and started their career in finance in 1984. Douglas had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 3, Series 4, Series 53, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2008 - May 14, 2008
MOLONEY SECURITIES CO., INC.
November 15, 2007 - February 14, 2008
NORTHLAND SECURITIES, INC.
June 22, 2004 - November 28, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
March 30, 2001 - November 28, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
August 9, 1994 - April 9, 2001
GENERAL SECURITIES CORP
June 19, 1992 - April 15, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 1991 - July 16, 1992
DAIN RAUSCHER INCORPORATED
August 1, 1989 - May 2, 1991
UBS FINANCIAL SERVICES INC.
April 11, 1988 - August 7, 1989
LEHMAN BROTHERS INC.
January 23, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
January 23, 1986 - January 13, 1987
MORGAN STANLEY DW INC.
July 27, 1984 - January 24, 1986
KIDDER, PEABODY & CO. INCORPORATED
January 26, 1984 - September 10, 1984
RAYMOND JAMES FINANCIAL SERVICES, INC.
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 28
Date: 10/26/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MOLONEY SECURITIES CO., INC.
CRD#: 38535 / SEC#: 801-64722, 8-48326
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIAR GREEN HOLDINGS, INC. | OWNER | |
| CORRIGAN, BRIAN PATRICK | INVESTOR/DIRECTOR | 4258969 |
| HANCOCK, DONALD RALPH | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN | 828811 |
| HOLOWATUK, WILLIAM JAMES | DIRECTOR OF COMPLIANCE | 6107023 |
| HUME, SCOTT ALLEN | INVESTOR/DIRECTOR | 2894512 |
| MEDLEY, JOSEPH RONALD JR | INVESTOR/DIRECTOR | 2619119 |
| MOLONEY, EDWARD JOHN JR | PRESIDENT, OFFICER/DIRECTOR | 3188341 |
| ROSEMAN, JEFFREY PATRICK | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP | 6296481 |
| STEEL, GEORGE DONALD | INVESTOR/DIRECTOR | 716992 |
| WIESER, RYAN MATHEW | VICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR | 4940639 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
