Douglas E. Werner
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 Erich Werner, who also goes by D Erich Werner, Erich Werner, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1984. Douglas had worked at 5 firms and has passed the Series 63, Series 7 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
October 2, 2012 - December 31, 2016
ERICH WERNER INVESTMENTS, INC.
March 16, 2007 - December 31, 2010
ERICH WERNER INVESTMENTS, INC.
January 10, 2001 - November 9, 2006
FSC SECURITIES CORPORATION
January 4, 2001 - November 9, 2006
FSC SECURITIES CORPORATION
December 3, 1997 - February 1, 2001
CETERA WEALTH SERVICES, LLC
May 5, 1987 - August 1, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
September 25, 1984 - December 12, 1997
TRANSAMERICA FINANCIAL ADVISORS, 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
Current Firm
ERICH WERNER INVESTMENTS, INC.
CRD#: 142341 / SEC#:
Contact information
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.
