Douglas M. Behrmann
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 Mark Behrmann was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1999. Douglas had worked at 10 firms and has passed the Series 63, Series 65, Series 6 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2020 - June 20, 2023
THURSTON SPRINGER ADVISORS
November 1, 2019 - November 23, 2020
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
April 14, 2016 - November 14, 2019
VALEO FINANCIAL ADVISORS, LLC
February 17, 2010 - March 6, 2015
STANCORP INVESTMENT ADVISERS, INC.
November 9, 2005 - February 10, 2010
REDWOOD INVESTMENT ADVISORS LTD
August 11, 2004 - September 12, 2005
CFD INVESTMENTS, INC.
July 22, 2003 - September 22, 2010
AMERICAN INVESTMENT ADVISORS, LTD
April 17, 2003 - August 9, 2004
ALLIED MILLENNIAL PARTNERS, LLC
February 25, 2003 - December 31, 2003
INTREPID FINANCIAL PLANNING GROUP, LLC
March 19, 2001 - April 15, 2003
WATERSTONE FINANCIAL GROUP, INC.
July 26, 1999 - November 12, 2002
REDWOOD INVESTMENT ADVISORS LTD
Primary Firm SEC Registration
THURSTON SPRINGER ADVISORS
CRD#: 299201 / SEC#: 801-114256
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
Current Firm
THURSTON SPRINGER ADVISORS
CRD#: 299201 / SEC#: 801-114256
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,759 |
| AUM (Assets Under Management) | $ 3,675,305,852 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/21/2025 | ||
| 02/28/2024 |
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.
