Douglas J. Sousa
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 John Sousa was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1987. Douglas had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 1994 - September 25, 1995
BUELL SECURITIES CORP.
December 1, 1992 - March 25, 1994
LEGEND MERCHANT GROUP, INC.
March 3, 1992 - October 5, 1992
MELBOURNE GSI CORP.
September 12, 1991 - December 31, 1991
FIRST MONTAUK SECURITIES CORP.
February 14, 1990 - December 20, 1990
DICKINSON & CO.
January 24, 1990 - February 15, 1990
J. T. MORAN & CO., INC.
August 24, 1987 - December 22, 1989
THE STUART-JAMES COMPANY, INCORPORATED
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
BUELL SECURITIES CORP.
CRD#: 1342 / SEC#: , 8-22058
Contact information
FINRA licenses (21 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
