Douglas R. Smith
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 Richard Smith, who also goes by Doug Smith, was a registered financial advisor .
Douglas is a previously registered financial advisor and started their career in finance in 1989. Douglas had worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2008 - April 30, 2009
FINANCIAL ADVISERS OF AMERICA, LLC
December 16, 2008 - April 30, 2009
FINANCIAL ADVISERS OF AMERICA, LLC
October 31, 2005 - November 8, 2005
OSAIC SERVICES, INC.
October 31, 2005 - January 25, 2008
INDEPENDENT FINANCIAL GROUP, LLC
October 31, 2005 - November 8, 2005
OSAIC SERVICES, INC.
October 31, 2005 - January 25, 2008
INDEPENDENT FINANCIAL GROUP, LLC
July 30, 2002 - October 31, 2005
SENTRA SECURITIES CORPORATION
June 8, 1994 - October 31, 2005
SENTRA SECURITIES CORPORATION
November 16, 1993 - June 6, 1994
ESSEX NATIONAL SECURITIES, LLC
October 30, 1990 - November 16, 1993
OSAIC WEALTH, INC.
May 17, 1989 - December 20, 1990
NYLIFE SECURITIES LLC
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
FINANCIAL ADVISERS OF AMERICA, LLC
CRD#: 142170 / SEC#: 801-69221, 8-67436
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHNSTON, KENNETH MERLE JR | MANAGING DIRECTOR, PRINCIPAL & CCO | 2437725 |
| SABINS, SCOTT ALAN | MEMBER | 834085 |
| BLAIR, ANTHONY FRANCIS | MEMBER | 1257306 |
| CUNNINGHAM, CRAIG, L | MEMBER | |
| KARG, CAMERON LEE | MEMBER | 264368 |
| LASARZIG, WILLIAM R JR. | MEMBER | 5708816 |
| SABINS, STEVEN WILLIAM | MEMBER | |
| WILSON, RODNEY E S | MEMBER | |
| ADAMS, ROSEMARIE CHIYOKO | MEMBER | 4638793 |
| AHERN, PRISCILLA A | MEMBER | 5720406 |
| AHERN, THOMAS S | MEMBER | 5720404 |
| DENNEY, NICOLETTE IRISA | FINOP | 1090644 |
| HUGHES, MICHAEL LEWIS | MEMBER | 1498127 |
| JOHNSTON, JODI MARIE | MEMBER | 2836464 |
| LUKEHART, DILLON JAMES | MEMBER | 6109420 |
| PELLAND, MICHAEL JOHN | MEMBER | 2845866 |
| PESAVENTO, ROBERT J | MEMBER | 5720397 |
| PESAVENTO, SUSAN J | MEMBER | 5720402 |
| PROUD, EILEEN MARIEL | MEMBER | 1019703 |
| WARNER, DONALD ALAN | MEMBER | 459120 |
Disclosures
| 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.
