Douglas Anderson

DOUGLAS ANDERSON, III

Houston, TX 77002

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CRD#: 1943496

Professional summary

Douglas Anderson III, who also goes by Douglas Anderson, is a registered financial advisor currently at DOUGLAS ANDERSON, III located in Houston, Texas.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Douglas has worked at 1 firm and has passed the Series 63 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Douglas Anderson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Advisor is engaged as a sole proprietor as a Certified Public Accountant and a Licensed Real Estate Broker. The names of the businesses are Douglas Anderson, III Certified Public Accountant and Douglas Anderson, III Real Estate Broker. These businesses are not investment related. The address is 1001 Fannin Suite 4670, Houston, TX 77002. The businesses were started in 1990. The number of hours per month devoted to these businesses during securities trading hours is approximately 20 hours. The duties in these businesses involve tax planning, tax preparation, business consultation, real estate brokerage and real estate consultation.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Anderson III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 17, 2020 - Present

DOUGLAS ANDERSON, III

Office #1: 1001 Fannin Suite 4670, Houston, TX 77002

RIA

CRD#: 114906

Houston, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(11/17/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/7/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 2

Date: 7/21/1989

Non-Member General Securities Examination

Current Firm

DOUGLAS ANDERSON, III

CRD#: 114906 / SEC#:

Texas

Registered Investment Advisory firm - (2/5/1998 Approved)

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Contact information

Main Address

1001 Fannin Suite 4670, Houston, TX 77002

Mailing Address

Phone number

(713) 322-6106

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Douglas Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Anderson III's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOUGLAS ANDERSON, III

State Registrations and Notice Filings

Exams

Series 63

Date: 4/7/1989

Series 2

Date: 7/21/1989

Current Firm

DOUGLAS ANDERSON, III

Contact information

Documents

Red Flags

Company Information

DOUGLAS ANDERSON, III

TRUST BUT VERIFY

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