Douglas M. Millar
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 Macarthur Millar was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1998. Douglas had worked at 13 firms and has passed the Series 63, SIE, Series 87, Series 55, Series 7, Series 14, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2015 - January 31, 2017
FBN SECURITIES, INC.
June 5, 2014 - February 19, 2015
CITATION FINANCIAL GROUP, L.P.
February 18, 2005 - February 19, 2015
W.A. CAPITAL MARKETS
January 5, 2005 - January 26, 2005
DOYLE, MILES & CO., LLC
September 22, 2004 - January 5, 2005
PREFERREDTRADE, INC.
April 3, 2003 - August 9, 2004
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
March 3, 2003 - March 27, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
December 4, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
September 19, 2001 - December 20, 2002
ACCESS SECURITIES, LLC
October 26, 2000 - September 24, 2001
NEWOAK CAPITAL MARKETS LLC
July 10, 2000 - September 18, 2000
PECONIC SECURITIES LLC
July 23, 1999 - July 27, 2000
BURLINGTON CAPITAL MARKETS INC.
March 24, 1998 - June 21, 1999
SHARPE CAPITAL, INC.
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 55
Date: 3/2/2001
Limited Representative-Equity Trader ExamCurrent Firm
FBN SECURITIES, INC.
CRD#: 18315 / SEC#: , 8-30461
Contact information
FINRA licenses (36 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
