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Douglas James Silver

CRD# 1627795·Registered 1987 - 2013
Previously Registered: Being a previously registered professional could mean that Douglas 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.

Professional Summary

Douglas James Silver, who also goes by Doug Silver, was a registered financial advisor. Douglas was a previously registered financial professional and started their career in finance 1987 - 2013. Douglas had worked at 8 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Doug Silver

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

BRISTOL ASSET MANAGEMENT·CRD# 131681
RIA
Boston, MA
October 29, 2004 - December 31, 2013
FERRIS, BAKER WATTS, LLC·CRD# 285
BD
Baltimore, MD
November 18, 1997 - October 20, 1999
LADENBURG THALMANN & CO. INC.·CRD# 505
BD
New York, NY
September 17, 1996 - November 10, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
November 9, 1993 - August 9, 1995
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
April 1, 1991 - September 22, 1993
THOMSON MCKINNON SECURITIES INC.·CRD# 829
BD
New York, NY
September 22, 1988 - August 7, 1989
L. F. ROTHSCHILD & CO. INCORPORATED·CRD# 501
BD
July 9, 1987 - August 2, 1988
THE WINDMILL GROUP, INC.·CRD# 8384
BD
March 25, 1987 - June 12, 1987

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Current Firm

BA
BRISTOL ASSET MANAGEMENT

BRISTOL ASSET MANAGEMENT

CRD#: 131681

Contact Information

Main Address

Boston, MA

Documents

Latest Form ADV

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1987About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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