DG
Douglas S. Gilmore
LUMENT SECURITIES
Columbus, OH 43215
Some features on this profile are disabled
CRD#: 1727390
DG
Professional summary
Douglas Scott Gilmore, CFA is a registered financial professional currently at LUMENT SECURITIES, LLC located in Columbus, Ohio.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1987. Douglas has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Douglas Scott Gilmore's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
January 2, 2019 - Present
LUMENT SECURITIES, LLC
Office #1: 10 West Broad Street 8th Floor, Columbus, OH 43215BD
CRD#: 14840
Columbus, OH
Past
October 21, 2013 - January 2, 2019
LANCASTER POLLARD & CO., LLC
BD
CRD#: 24110
COLUMBUS, OH
Past
October 2, 2000 - October 22, 2013
LUMENT SECURITIES, LLC
BD
CRD#: 14840
COLUMBUS, OH
Past
April 1, 1999 - October 12, 1999
BANC ONE CAPITAL MARKETS, INC.
BD
CRD#: 23065
CHICAGO, IL
Past
January 5, 1995 - April 1, 1999
BANC ONE CAPITAL MARKETS, INC.
BD
CRD#: 27267
COLUMBUS, OH
Past
November 30, 1988 - December 31, 1994
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
September 24, 1987 - November 8, 1988
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/23/2022)
RR
Alaska(9/8/2022)
RR
Arizona(9/8/2022)
RR
Arkansas(9/8/2022)
RR
California(2/4/2022)
RR
Colorado(2/4/2022)
RR
Connecticut(9/8/2022)
RR
Delaware(9/8/2022)
RR
District of Columbia(2/4/2022)
RR
Florida(2/4/2022)
RR
Georgia(2/4/2022)
RR
Hawaii(9/8/2022)
RR
Idaho(9/8/2022)
RR
Illinois(2/4/2022)
RR
Indiana(2/4/2022)
RR
Iowa(9/8/2022)
RR
Kansas(9/8/2022)
RR
Kentucky(9/8/2022)
RR
Louisiana(9/8/2022)
RR
Maine(9/8/2022)
RR
Maryland(2/4/2022)
RR
Massachusetts(2/4/2022)
RR
Michigan(9/8/2022)
RR
Minnesota(2/4/2022)
RR
Mississippi(9/8/2022)
RR
Missouri(3/1/2022)
RR
Montana(9/8/2022)
RR
Nebraska(2/4/2022)
RR
Nevada(9/8/2022)
RR
New Hampshire(2/4/2022)
RR
New Jersey(2/4/2022)
RR
New Mexico(9/8/2022)
RR
New York(2/4/2022)
RR
North Carolina(2/4/2022)
RR
North Dakota(9/8/2022)
RR
Ohio(1/2/2019)
RR
Oklahoma(2/4/2022)
RR
Oregon(9/8/2022)
RR
Pennsylvania(2/4/2022)
RR
Rhode Island(9/8/2022)
RR
South Carolina(9/8/2022)
RR
South Dakota(9/8/2022)
RR
Tennessee(9/8/2022)
RR
Texas(9/8/2022)
RR
Utah(2/4/2022)
RR
Vermont(9/8/2022)
RR
Virginia(2/4/2022)
RR
Washington(9/8/2022)
RR
West Virginia(9/8/2022)
RR
Wisconsin(2/4/2022)
RR
Wyoming(9/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LUMENT SECURITIES, LLC
LUMENT SECURITIES | RED CAPITAL MARKETS, LLC | RED CAPITAL MARKETS, INC. | PROVIDENT SECURITIES & INVESTMENT COMPANY | OREC SECURITIES, LLC | LUMENT SECURITIES, LLC
CRD#: 14840 / SEC#: , 8-31175
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
10 West Broad Street 8th Floor, Columbus, OH 43215
Mailing Address
10 West Broad Street 8th Floor, Columbus, OH 43215
Phone number
(614) 857-1600
Established
Delaware since 05/06/2010
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | SHAREHOLDER | |
| CROFT, JAMES FRANCIS | CHAIRMAN, BOARD OF MANAGERS | 2148025 |
| KIRKWOOD, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS | 6025468 |
| MAINELLI, KEVIN JOSEPH | MANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER | 1751991 |
| SMITH, MARY AGNES | CHIEF FINANCIAL OFFICER AND FINOP | 2498307 |
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.
