Ronald D. Douglas
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.
Ronald Dean Douglas, who also goes by R D Douglas, Ron Douglas, Ronald D Douglas, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1989. Ronald had worked at 8 firms and has passed the Series 63 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
April 5, 2013 - January 23, 2014
QUESTAR CAPITAL CORPORATION
October 3, 2011 - March 2, 2012
ALLIED BEACON PARTNERS, INC.
February 3, 2011 - September 30, 2011
WORKMAN SECURITIES CORPORATION
March 4, 2004 - November 30, 2010
WOODBURY FINANCIAL SERVICES, INC.
April 25, 2002 - May 5, 2003
WOODBURY FINANCIAL SERVICES, INC.
January 31, 2002 - May 3, 2002
USALLIANZ SECURITIES, INC.
December 16, 1993 - December 31, 2001
WOODBURY FINANCIAL SERVICES, INC.
July 20, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 20, 1989 - December 16, 1993
PRUCO SECURITIES, LLC.
March 28, 1989 - July 17, 1989
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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| 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.
