Douglas J. Donnelly

THE INSTITUTE

Seattle, WA 98112

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CRD#: 1397094

Professional summary

Douglas J Donnelly is a registered financial advisor currently at THE INSTITUTE located in Seattle, Washington.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Douglas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

PASSING TIME WINERY, 25% PARTNER SINCE AUGUST 2012, FORMING A WINE LABEL. DUTIES INVOLVE SOME STRATEGIZING. INFREQUENT HOURS, NOT DURING MARKET. -- "I HAVE A NUMBER OF OUTSIDE PRIVATE INVESTMENTS WHERE I AM A PASSIVE INVESTOR (RE, HOUSE & FARM, PRIVATE EQUITY, ETC)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas J Donnelly's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 13, 2019 - Present

THE INSTITUTE

Office #1: 4020 E Madison St Suite 210, Seattle, WA 98112

RIA

CRD#: 127207

Seattle, WA

Past

January 1, 2018 - April 30, 2019

INSTITUTE FOR WEALTH CONSULTANTS, INC.

RIA

CRD#: 288502

Seattle, WA

Past

August 24, 2017 - November 28, 2017

DMK ADVISOR GROUP, INC.

CRD#: 41067

LUTZ, FL

Past

May 19, 2014 - March 26, 2018

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

SEATTLE, WA

Past

April 25, 2013 - May 3, 2016

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

SEATTLE, WA

Past

March 16, 2012 - April 11, 2013

NORTHWEST ASSET MANAGEMENT

RIA

CRD#: 147923

MERCER ISLAND, WA

Past

July 1, 2003 - March 13, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SEATTLE, WA

Past

July 1, 2003 - March 13, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SEATTLE, WA

Past

June 30, 1992 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

SEATTLE, WA

Past

December 23, 1987 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 21, 1985 - February 8, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(12/6/2022)

IAR

Washington
(5/13/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/24/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/28/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/10/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

Current Firm

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 Terminated)

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Contact information

Main Address

9878 W. Belleview Ave. #2306, Denver, CO 80123

Mailing Address

Phone number

(303) 572-3500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE INSTITUTE 2A (6/23/2025)

Regulatory assets under management

Total Number of Accounts	1,848
AUM (Assets Under Management)	$ 1,154,643,475

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.

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Advisor Monitoring

Firm Stability Insights

Douglas J. Donnelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas J Donnelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSTITUTE FOR WEALTH CONSULTANTS, INC.

DMK ADVISOR GROUP, INC.

CONCERT WEALTH MANAGEMENT

DINOSAUR FINANCIAL GROUP, L.L.C

NORTHWEST ASSET MANAGEMENT

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

THE INSTITUTE

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/1992

Series 63

Date: 8/26/1985

SIE

Date: 11/28/2017

Series 31

Date: 4/10/2006

Series 7

Date: 8/17/1985

Current Firm

THE INSTITUTE

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE INSTITUTE

TRUST BUT VERIFY

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