Douglas C. Vaaler
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 Vaaler, who also goes by Douglas C Vaaler, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1988. Douglas had worked at 10 firms and has passed the Series 66, Series 63, SIE 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
May 3, 2010 - August 4, 2022
LOCORR DISTRIBUTORS, LLC
November 15, 2006 - April 28, 2009
MML DISTRIBUTORS, LLC
April 28, 2005 - October 16, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
February 9, 2005 - October 16, 2006
FAM DISTRIBUTORS, INC.
June 13, 2003 - June 14, 2004
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 13, 2002 - June 13, 2003
PRUCO SECURITIES, LLC.
January 1, 1997 - December 13, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 14, 1994 - January 1, 1997
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1990 - October 29, 1993
A. G. EDWARDS & SONS, INC.
March 22, 1988 - July 31, 1990
UBS FINANCIAL SERVICES 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
Current Firm
LOCORR DISTRIBUTORS, LLC
CRD#: 41782 / SEC#: , 8-49568
Contact information
FINRA licenses (13 States and Territories)
Documents
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.
