Douglas Spinosa
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 Spinosa was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1986. Douglas had worked at 5 firms and has passed the Series 63, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 1999 - May 30, 2000
J.W. BARCLAY & CO., INC.
January 6, 1998 - July 10, 1998
PRINCIPAL SECURITIES, INC.
November 21, 1991 - June 5, 1997
J.W. BARCLAY & CO., INC.
June 7, 1990 - August 28, 1991
COMMONWEALTH ASSOCIATES
March 31, 1989 - June 15, 1990
A.S. GOLDMEN & CO., INC.
October 24, 1986 - October 30, 1989
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
Series 62
Date: 10/2/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
J.W. BARCLAY & CO., INC.
CRD#: 23350 / SEC#: , 8-40351
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 19 |
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.
