Douglas A. Rauh
Professional summary
Douglas Alan Rauh 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 1986. Prior to being barred, Douglas had worked at 9 firms, which includes BROOKSTREET SECURITIES CORPORATION, OSAIC WEALTH INC., LPL FINANCIAL LLC, MARKETING ONE SECURITIES INC., AMERICAN GENERAL SECURITIES INCORPORATED, CONCOURSE FINANCIAL GROUP SECURITIES INC., GAF FINANCIAL AND INSURANCE SERVICES, PAMCO SECURITIES AND INSURANCE SERVICES, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2004 - November 14, 2005
BROOKSTREET SECURITIES CORPORATION
February 12, 2002 - November 14, 2005
BROOKSTREET SECURITIES CORPORATION
February 22, 2001 - February 12, 2002
OSAIC WEALTH, INC.
June 1, 1998 - February 5, 2001
LPL FINANCIAL LLC
August 10, 1994 - May 11, 1998
MARKETING ONE SECURITIES, INC.
October 20, 1993 - August 25, 1994
AMERICAN GENERAL SECURITIES INCORPORATED
September 4, 1990 - September 23, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 7, 1987 - September 11, 1990
GAF FINANCIAL AND INSURANCE SERVICES
July 10, 1986 - September 11, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
April 23, 1986 - July 23, 1986
PRUCO SECURITIES, LLC.
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
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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