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DM

Douglas H. Mcgregor

FRONTIER SECURITIES
Richmond, VA 23233
Some features on this profile are disabled
CRD#: 1611144
DM

Professional summary

Douglas Hampton Mcgregor is a registered financial professional currently at FRONTIER SECURITIES located in Richmond, Virginia.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1987. Douglas has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, Series 3, SIE, Series 7, Series 14, Series 30 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Hampton Mcgregor's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 3, 2023 - Present

FRONTIER SECURITIES

Office #1: 3307 Church Road, Suite 220, Richmond, VA 23233Office #2: 3307 Church Road Suite 220, Richmond, VA 23233
BD
CRD#: 136102
Richmond, VA
Past

October 9, 2018 - December 31, 2022

PALLADIUM CAPITAL GROUP, LLC

BD
CRD#: 129400
NEW YORK, NY
Past

December 19, 2014 - February 7, 2019

HAMPTON ASSET ADVISORS, LLC

RIA
CRD#: 172399
OAKTON, VA
Past

July 2, 2010 - December 31, 2010

HAMPTON ASSET ADVISORS, LLC

RIA
CRD#: 150364
OAKTON, VA
Past

January 6, 2010 - January 8, 2010

HAMPTON ASSET ADVISORS, LLC

RIA
CRD#: 150364
OAKTON, VA
Past

January 18, 2007 - January 2, 2019

HAMPTON HEDGE FUND MARKETING, LLC

BD
CRD#: 141685
OAKTON, VA
Past

October 31, 2005 - September 18, 2006

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
NORWALK, CT
Past

September 28, 2005 - October 25, 2005

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY
Past

June 27, 2003 - August 4, 2005

TRINIX SECURITIES LLC

BD
CRD#: 103360
ENCINITAS, CA
Past

September 19, 1995 - January 17, 1996

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

December 18, 1992 - June 27, 1995

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20
Past

April 13, 1988 - December 4, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 18, 1987 - April 14, 1987

ALLIED CAPITAL GROUP, INC.

BD
CRD#: 13146

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Pennsylvania
(1/5/2023)
RR
Virginia
(2/8/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/10/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/16/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 3
Date: 11/16/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/25/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 30
Date: 11/22/2022
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/4/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FRONTIER SECURITIES
FRONTIER SECURITIES | FRONTIER SOLUTIONS, LLC

CRD#: 136102 / SEC#: , 8-66972

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
3307 Church Road Suite 220, Richmond, VA 23233
Mailing Address
3307 Church Road Suite 220, Richmond, VA 23233
Phone number
(804) 918-2368
Established
Georgia since 05/03/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASPEN PARTNERS, LTDMANAGING MEMBER
TERRY, DEBORAH HOLLANDFINOP/CFO5680197
VICK, GEORGE DAVIS IVCHIEF COMPLIANCE OFFICER3006623

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.

Company Information

FRONTIER SECURITIES

CRD#: 136102Richmond, VA 23233

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