Douglas A. Spier
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 Alan Spier was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1989. Douglas had worked at 7 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 11, Series 6, Series 53, Series 4 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
October 15, 2013 - January 8, 2018
DS CONSULTING, INC.
October 22, 2002 - March 23, 2004
TD AMERITRADE CLEARING, INC.
November 16, 2001 - December 31, 2001
J.P. SECURITIES, INC.
April 13, 2001 - December 31, 2001
AMERITRADE INSTITUTIONAL SERVICES, INC.
April 27, 2000 - April 5, 2002
TD AMERITRADE CLEARING, INC.
April 6, 2000 - October 11, 2000
AMERITRADE INSTITUTIONAL SERVICES, INC.
July 19, 1991 - December 31, 2001
ACCUTRADE INC.
January 20, 1989 - August 24, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 20, 1989 - August 24, 1989
PRUCO 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
Series 55
Date: 11/13/2001
Limited Representative-Equity Trader ExamSeries 11
Date: 7/18/1991
Assistant Representative-Order Processing Qualification ExamCurrent Firm
DS CONSULTING, INC.
CRD#: 159228 / SEC#:
Contact information
Red Flags
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