Douglas W. Childers
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 William Childers was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1985. Douglas had worked at 4 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2011 - November 1, 2012
KAISER AND COMPANY
April 1, 2005 - February 3, 2011
THE O.N. EQUITY SALES COMPANY
April 14, 2003 - March 28, 2005
OSAIC FS, INC.
September 10, 1993 - March 28, 2003
USAA INVESTMENT SERVICES COMPANY
November 22, 1985 - October 28, 1991
USAA INVESTMENT SERVICES COMPANY
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
Current Firm
KAISER AND COMPANY
CRD#: 14186 / SEC#: , 8-30295
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
