Douglas C. Feltz
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 Charles Feltz, AIF® was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1985. Douglas had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 72, Series 62, Series 6 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
April 16, 2022 - May 3, 2024
GALLAGHER FIDUCIARY ADVISORS, LLC
March 28, 2022 - May 6, 2024
TRIAD ADVISORS LLC
April 25, 2016 - March 31, 2022
KESTRA ADVISORY SERVICES, LLC
February 19, 2013 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
February 19, 2013 - March 31, 2022
KESTRA INVESTMENT SERVICES, LLC
October 14, 2009 - January 17, 2013
G & W EQUITY SALES, INC.
October 13, 2009 - January 17, 2013
G & W EQUITY SALES, INC.
August 17, 2005 - December 31, 2008
PRINCIPAL SECURITIES, INC.
May 13, 1985 - December 31, 2008
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
GALLAGHER FIDUCIARY ADVISORS, LLC
CRD#: 146509 / SEC#: 801-68868
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 72
Date: 12/18/2001
Government Securities Representative ExaminationSeries 62
Date: 11/3/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
GALLAGHER FIDUCIARY ADVISORS, LLC
CRD#: 146509 / SEC#: 801-68868
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,754 |
| AUM (Assets Under Management) | $ 180,614,282,519 |
Red Flags
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