Douglas L. Braunstein
Professional summary
Douglas L Braunstein, who also goes by Douglas Lee Braunstein, Doug Braunstein, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in New York, New York.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1992. Douglas has worked at 6 firms and has passed the Series 63, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas L Braunstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2024 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 500 W 33rd St 30 Hudson Yards, New York, NY 10001August 20, 2021 - February 15, 2024
HUDSON EXECUTIVE SECURITIES LLC
July 25, 2008 - February 4, 2015
J.P. MORGAN SECURITIES LLC
June 2, 1997 - October 1, 2008
J.P. MORGAN SECURITIES INC.
January 24, 1997 - May 6, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 1992 - May 12, 1993
CREDIT SUISSE SECURITIES (USA) 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
Series 62
Date: 9/24/1992
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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