Douglas C. Group
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 Charles Group, who also goes by Doug Group, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1987. Douglas had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 24, Series 53, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2009 - October 12, 2010
RICHFIELD ORION FINANCIAL ADVISORS, INC.
April 9, 2009 - March 10, 2016
RICHFIELD ORION INTERNATIONAL, INC.
July 21, 2008 - January 23, 2009
BROOKSTONE SECURITIES, INC.
July 21, 2008 - January 23, 2009
BROOKSTONE SECURITIES, INC.
October 31, 2003 - December 15, 2004
1ST DISCOUNT BROKERAGE, INC.
June 16, 2003 - February 20, 2008
1ST DISCOUNT BROKERAGE, INC.
October 21, 2002 - July 22, 2003
JAMES WHEELER & CO. INVESTMENTS, INC.
May 24, 1995 - July 22, 2003
JAMES WHEELER & CO. INVESTMENTS, INC.
July 25, 1991 - March 17, 1995
AMERIPRISE ADVISOR SERVICES, INC.
March 22, 1990 - July 10, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
November 25, 1987 - June 11, 1990
MORGAN STANLEY DW INC.
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
Series 8
Date: 9/8/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
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.
