Douglas L. Cawley
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 Lymus Cawley was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1988. Douglas had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 62, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2008 - August 9, 2021
TD AMERITRADE, INC.
March 16, 1993 - June 11, 2007
TD AMERITRADE, INC.
March 19, 1992 - February 17, 1993
GRUNTAL & CO., L.L.C.
June 28, 1990 - March 3, 1992
SOUTH RICHMOND SECURITIES, INC.
September 26, 1988 - October 19, 1990
FIRST FIDELITY CAPITAL CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/24/2024
General Securities Representative ExaminationSeries 62
Date: 8/30/1988
Corporate Securities Limited Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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