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DD

Denice E. Douglas

Some features on this profile are disabled
CRD#: 1423457
DD

Professional summary

Denice Eubanks Douglas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Denice is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Denice had worked at 4 firms, which includes DIRECTED SERVICES LLC, LOCUST STREET SECURITIES INC., SOUTHMARK FINANCIAL SERVICES INC., PW SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 28, 2000 - November 15, 2000

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA
Past

October 24, 1994 - July 11, 2000

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

September 2, 1987 - December 31, 1988

SOUTHMARK FINANCIAL SERVICES, INC.

BD
CRD#: 6518
Past

October 30, 1985 - August 4, 1987

PW SECURITIES, INC.

BD
CRD#: 6775

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 6
Date: 10/21/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

DS
DIRECTED SERVICES LLC
DIRECTED SERVICES LLC | DIRECTED SERVICES, LLC | DIRECTED SERVICES, INC.

CRD#: 21675 / SEC#: 801-32675, 8-39104

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
Suite 200 100, Scottsdale, AZ 85258
Mailing Address
Suite 1350 699 Walnut Street, Des Moines, IA 50309
Phone number
(515) 410-3008
Established
Delaware since 12/01/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
VENERABLE HOLDINGS, INCSHAREHOLDER
BROWN, KENNETH LEEPRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER5621811
ELLIS, ANGELA LEACHIEF COMPLIANCE OFFICER5969191
GELFAND, RICHARD EDWARDCHIEF FINANCIAL OFFICER5255203
HARDING, KRISTI LYNNBOARD MEMBER4017100

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

DIRECTED SERVICES LLC

CRD#: 21675

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