Douglas B. Wells
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 Bradford Wells, who also goes by Douglas B Wells, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1985. Douglas had worked at 12 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2013 - January 24, 2014
G-2 TRADING,LLC
April 10, 2008 - October 25, 2010
ABEL/NOSER CORP.
January 2, 2007 - February 22, 2008
RBC CAPITAL MARKETS CORPORATION
July 27, 2006 - January 2, 2007
CARLIN EQUITIES, LLC
April 10, 2006 - July 25, 2006
G-2 TRADING,LLC
February 3, 2004 - November 30, 2005
MILETUS TRADING, LLC
February 27, 2003 - January 30, 2004
APB FINANCIAL GROUP, LLC
August 1, 2000 - February 24, 2003
INSTINET, LLC
April 28, 1998 - August 1, 2000
REUTERS C CORPORATION
February 22, 1996 - May 8, 1997
FIRST NEW YORK SECURITIES L.L.C.
January 5, 1993 - February 10, 1996
SOUNDVIEW TECHNOLOGY CORPORATION
July 30, 1986 - December 4, 1992
PRUDENTIAL EQUITY GROUP, LLC
December 17, 1985 - July 22, 1986
EXECUTION SERVICES INCORPORATED
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 55
Date: 3/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
G-2 TRADING,LLC
CRD#: 44018 / SEC#: , 8-50510
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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