Douglas W. Steele
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 William Steele 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 7, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2000 - October 31, 2000
SIERRA BROKERAGE SERVICES, INC.
August 27, 1997 - November 26, 1997
CORNA SECURITIES, INC.
March 11, 1996 - August 21, 1996
SIERRA BROKERAGE SERVICES, INC.
June 9, 1994 - January 16, 1996
CORNA SECURITIES, INC.
May 24, 1990 - September 13, 1990
CORNA AND CO., INC.
November 11, 1988 - March 28, 1989
FREEDOM FIRST SECURITIES, 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 62
Date: 6/8/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
SIERRA BROKERAGE SERVICES, INC.
CRD#: 36573 / SEC#: , 8-47414
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICHARDSON, JEFFREY ALLEN | PRESIDENT/HEAD TRADER | 736249 |
| TROWBRIDGE, JAMES MAURICE | DIRECTOR | 2496467 |
| MACTIR INTERNATIONAL | SHAREHOLDER | |
| MCCAMEY, JOHN CHRISTOPHER | SHAREHOLDER | 1837728 |
| PAMULAPATI, JITHENDER | SHAREHOLDER | 2074713 |
| MCAULIFFE, JANE A | SHAREHOLDER | 2521230 |
| ECKSTEIN, BRIAN KEITH | CHIEF FINANCIAL OFFICER | 4270845 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 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.
