Douglas K. See
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 Kenneth See, who also goes by Doug See, Douglas K See, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1984. Douglas had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 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
May 1, 2018 - January 31, 2023
ATLAS FINANCIAL ADVISORS, INC.
February 26, 2018 - March 26, 2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 18, 2017 - April 6, 2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 25, 2017 - June 22, 2017
MML INVESTORS SERVICES, LLC
March 23, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
July 2, 2013 - July 30, 2014
AMERITAS INVESTMENT COMPANY, LLC
March 8, 2012 - December 31, 2012
MML INVESTORS SERVICES, LLC
May 18, 2011 - January 5, 2012
PRINCIPAL SECURITIES, INC.
March 28, 2008 - April 20, 2011
EQUITABLE ADVISORS, LLC
February 5, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
February 5, 2007 - April 2, 2008
MSI FINANCIAL SERVICES, INC.
December 9, 2004 - January 31, 2007
PARKLAND SECURITIES, LLC
November 12, 2002 - November 23, 2004
MONY SECURITIES CORPORATION
March 18, 2002 - October 24, 2002
METROPOLITAN LIFE INSURANCE COMPANY
March 18, 2002 - October 24, 2002
MSI FINANCIAL SERVICES, INC.
November 2, 1998 - February 5, 2002
MONY SECURITIES CORPORATION
September 2, 1997 - October 13, 1998
SUNAMERICA SECURITIES, INC.
October 4, 1990 - September 9, 1997
MONY SECURITIES CORPORATION
February 8, 1988 - August 17, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 8, 1988 - August 17, 1990
EQUITABLE ADVISORS, LLC
May 21, 1986 - October 26, 1987
LEHMAN BROTHERS INC.
May 30, 1984 - July 21, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 30, 1984 - July 21, 1986
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
ATLAS FINANCIAL ADVISORS, INC.
CRD#: 160276 / SEC#: 801-120944
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
ATLAS FINANCIAL ADVISORS, INC.
CRD#: 160276 / SEC#: 801-120944
Contact information
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 985 |
| AUM (Assets Under Management) | $ 107,762,356 |
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.
