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DF

Douglas L. Frey

MISCHLER FINANCIAL GROUP
New York, NY 10011
Some features on this profile are disabled
CRD#: 1744600
DF

Professional summary

Douglas Lee Frey, who also goes by Doug Frey, Douglas Frey, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in New York, New York and GTS SECURITIES LLC located in New York, New York.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1993. Douglas has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 2, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Doug Frey | Douglas Frey

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Lee Frey'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®
None

Experience

Current

March 14, 2024 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: 625 Avenue Of Americas 3rd Floor, New York, NY, 10011
BD
CRD#: 37818
New York, NY
Current

April 5, 2024 - Present

GTS SECURITIES LLC

Office #1: 625 Avenue Of The Americas 3rd Floor, New York, NY 10011
BD
CRD#: 149224
NEW YORK, NY
Current

April 12, 2024 - Present

GTS EXECUTION SERVICES LLC

Office #1: 625 Avenue Of Americas 3rd Floor, New York, NY 10011
BD
CRD#: 306364
NEW YORK, NY
Past

January 9, 2015 - March 19, 2024

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
SANTA MONICA, CA
Past

October 15, 2012 - December 26, 2014

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
LOS ANGELES, CA
Past

May 2, 2005 - January 27, 2012

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
PASADENA, CA
Past

October 10, 2000 - February 1, 2005

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 14, 1998 - October 10, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

October 23, 1996 - January 5, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

December 17, 1993 - October 16, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 30, 1993 - August 6, 1993

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA

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
California
(3/14/2024)
RR
New York
(3/14/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/28/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 9/11/1987
Non-Member General Securities Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/12/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/12/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

GE
GTS EXECUTION SERVICES LLC
GTS EXECUTION SERVICES LLC

CRD#: 306364 / SEC#: , 8-70455

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
625 Avenue Of Americas 3rd Floor, New York, NY 10011
Mailing Address
625 Avenue Of Americas 3rd Floor, New York, NY 10011
Phone number
(212) 715-5900
Established
Delaware since 03/09/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GTS EQUITY PARTNERS LLCHOLDING COMPANY/MEMBER
MARTELL, SEANFINOP/CFO4629458
NAZEM, DARIUSHCHIEF OPERATING OFFICER4930821
ROMANELLO, PATRICK JOSEPHCCO5378090
RUBENSTEIN, ARI MCO-FOUNDER AND CEO4134798

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

GTS EXECUTION SERVICES LLC

CRD#: 306364New York, NY 10011

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