Douglas E. Totten
Professional summary
Douglas Eugene Totten JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Douglas is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Douglas had worked at 5 firms, which includes BROOKSTREET SECURITIES CORPORATION, UBS FINANCIAL SERVICES INC., FERRIS BAKER WATTS LLC, J.C. BRADFORD & CO., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2003 - July 30, 2004
BROOKSTREET SECURITIES CORPORATION
June 23, 1998 - February 13, 2003
UBS FINANCIAL SERVICES INC.
June 19, 1998 - February 13, 2003
UBS FINANCIAL SERVICES INC.
February 10, 1994 - June 15, 1998
FERRIS, BAKER WATTS, LLC
June 16, 1989 - February 4, 1994
J.C. BRADFORD & CO.
March 23, 1985 - June 16, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 8
Date: 4/8/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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