Lowell A. 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.
Lowell Alan Douglas was a registered financial professional .
Lowell is a previously registered financial professional and started their career in finance in 1989. Lowell had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2016 - December 31, 2018
FELTL & COMPANY
January 11, 2008 - March 10, 2015
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
March 20, 2002 - December 31, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
October 17, 1995 - March 11, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
November 1, 1994 - October 17, 1995
GLOBAL FINANCIAL GROUP, INC.
September 18, 1989 - October 28, 1994
HAYNE, MILLER FINANCIAL, INC.
March 21, 1989 - September 18, 1989
HAYNE, MILLER & SWEARINGEN, 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
Current Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
