Douglas P. Shebroe
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 Paul Shebroe, who also goes by Douglas Paul Shebroc, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1987. Douglas had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2010 - May 19, 2010
SEABOARD SECURITIES, INC.
April 13, 2009 - January 20, 2010
DAVID LERNER ASSOCIATES, INC.
December 18, 2008 - March 30, 2009
SPARTAN CAPITAL SECURITIES, LLC
October 1, 1991 - June 19, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 1, 1991 - June 19, 1992
SIGNATOR INVESTORS, INC.
December 7, 1990 - November 7, 1991
V P SECURITIES, INC.
June 14, 1990 - October 18, 1990
CASTLE SECURITIES CORP.
April 19, 1990 - June 11, 1990
KOCHCAPITAL
September 21, 1987 - March 10, 1989
INVESTORS CENTER, INC.
March 20, 1987 - October 30, 1987
THE STUART-JAMES COMPANY, 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
Current Firm
SEABOARD SECURITIES, INC.
CRD#: 755 / SEC#: , 8-44373
Contact information
Documents
Disclosures
| Regulatory Event | 26 |
| Arbitration | 8 |
| Bond | 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.
