Douglas M. Marlow
Professional summary
Douglas Michael Marlow is a registered financial advisor currently at OSAIC WEALTH, INC. located in Algona, Iowa.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Douglas has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Michael Marlow's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Michael Marlow's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 2, 2018 - Present
OSAIC WEALTH, INC.
Office #1: 111 E Call Street, Algona, IA 50511November 2, 2018 - Present
OSAIC WEALTH, INC.
Office #1: 111 E Call Street, Algona, IA 50511January 17, 2017 - November 2, 2018
SIGNATOR INVESTORS, INC.
January 17, 2017 - November 2, 2018
SIGNATOR INVESTORS, INC.
April 26, 2016 - February 1, 2017
AMERITAS INVESTMENT COMPANY, LLC
August 15, 1996 - February 1, 2017
AMERITAS INVESTMENT COMPANY, LLC
January 3, 1994 - August 20, 1996
CETERA WEALTH SERVICES, LLC
March 23, 1990 - December 31, 1993
OPPENHEIMER & CO. INC.
June 25, 1987 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
Primary Firm SEC Registration
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/2/2018)
(11/2/2018)
(1/4/2023)
(11/2/2018)
(9/12/2024)
(1/16/2020)
(11/2/2018)
(11/2/2018)
(11/2/2018)
(11/2/2018)
(2/4/2022)
(3/8/2022)
(12/10/2020)
(5/13/2024)
(7/11/2023)
(11/2/2018)
Exams
FINRA
Current Firm
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | CEO, PRESIDENT, DIRECTOR | 3132991 |
| FORD, ERINN JUNE | DIRECTOR | 2176816 |
| MIHAL, SHAWN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 797,559 |
| AUM (Assets Under Management) | $ 200,266,275,275 |
Disclosures
| Regulatory Event | 50 |
| Arbitration | 31 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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.
Company Information
OSAIC WEALTH, INC.
CRD#: 23131Algona, IA 50511TRUST BUT VERIFY
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