Douglas L. Chin
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 Loy Chin was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1984. Douglas had worked at 7 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
March 19, 1992 - September 10, 1993
MARKETING ONE SECURITIES, INC.
October 21, 1991 - April 10, 1992
FINANCIAL SERVICES GROUP
May 7, 1991 - January 28, 1992
CITICORP INVESTMENT SERVICES
June 6, 1990 - April 1, 1991
CHARLES SCHWAB & CO., INC.
May 26, 1987 - June 19, 1990
FINANCIAL SERVICES GROUP
July 29, 1986 - April 30, 1988
FIRST AMERICA EQUITIES CORP.
February 8, 1985 - July 24, 1986
MORGAN STANLEY DW INC.
December 18, 1984 - January 24, 1985
BEARE BROTHERS & CO. 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
MARKETING ONE SECURITIES, INC.
CRD#: 16611 / SEC#: , 8-34263
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARKETING ONE, INC. | OWNER | |
| ANDRE, LESLIE ELAINE | VP / DIRECTOR OF COMPLIANCE | 712461 |
| BOWER, JOHN CARROLL | DIRECTOR | 1466042 |
| HILLIKER, JAMES RICHARD | OPS/SROP/PRINCIPAL/VP | 874277 |
| MARSH, RONALD STEVEN | CROP | 2241694 |
| NIPOTI, PETER EDWARD | PRESIDENT / DIRECTOR | 2462962 |
| SILVERMAN, SCOTT | DIRECTOR | 3265096 |
| TEMPLE, DOUGLAS M | FIN OP/VP/TREASURER/ASST. SEC. | 2682868 |
Disclosures
| Regulatory Event | 5 |
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.
