Douglas K. Saul
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 Kramer Saul, who also goes by Doug Saul, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1984. Douglas had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2009 - November 14, 2019
CPS FINANCIAL & INSURANCE SERVICES, INC.
June 10, 2003 - February 10, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 6, 2002 - June 5, 2003
PRUCO SECURITIES, LLC.
January 15, 1993 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 15, 1993 - December 3, 2001
SIGNATOR INVESTORS, INC.
January 28, 1988 - October 14, 1992
OLD SLIP CAPITAL MANAGEMENT, INC.
March 27, 1985 - July 23, 1986
LOCUST STREET SECURITIES, INC.
March 15, 1984 - December 24, 1984
NEW ENGLAND SECURITIES
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
CPS FINANCIAL & INSURANCE SERVICES, INC.
CRD#: 41243 / SEC#: , 8-49337
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
