DS
Douglas J. Sanchez
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CRD#: 1962106
DS
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 James Sanchez, who also goes by Doug Sanchez, Douglas Sanchez, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1989. Douglas had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Doug Sanchez | Douglas Sanchez
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.
. SELF EMPLOYED - LANDLORD POSITION: OWNER NATURE: IT IS NOT INVESTMENT RELATED. ADDRESS: N/A. NATURE: RENTING REAL ESTATE FOR INCOME. POSITION: N/A. START DATE 7/1/03. I SPEND ONE HOUR A MONTH ON THIS AND ZERO TIME DURING TRADING HOURS. DUTIES: I AM HAVING A REAL ESTATE MGMT COMPANY MANAGE MY RENTAL PROPERTY. INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2004 ADDRESS: 600 S DIXIE HWY APT 612, WEST PALM BEACH FL 33401 DESCRIPTION: I AM THE OWNER OF TWO RESIDENTIAL RENTAL PROPERTIES. I HAVE A REAL ESTATE MANAGEMENT COMPANY MANAGE THE RENTAL PROPERTIES. I RECEIVE RENTAL INCOME FROM THE TENANTS. Name: Self Employed - Landlord, Role: Owner, Type: Rental Property, Start Date: 06/01/2004, Investment Related?: No, Address: 568 S Country Club Dr, Atlantis, FL 33462, Number of Hours/Mo: 5, Duties: I am the owner of two residential rental properties.? I have a real estate management company manage the rental properties.? I receive rental income from the tenants. Name: Owner / Investor of Massage Envy Spa, Role: Part Owner, Type: Board Service, Start Date: 05/20/2015, Investment Related?: No, Address: 1808 Tamiami Trail Suite D6, Port Charlotte, FL 33948, Number of Hours/Mo: 10, Duties: I am an owner/investor of a Massage Envy Spa.? I will have a very limited role in the management and operations of the spa and will only be devoting my time on the weekends to the spa.? Name: Owner / Board Member of Massage Envy Franchise, Role: Member, Type: Board Service, Start Date: 11/01/2021, Investment Related?: No, Address: TBD, Venice, FL 34293, Number of Hours/Mo: 10, Duties: I will provide guidance and recommendations regarding the overall strategy of the business operation.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 25, 2022 - November 15, 2024
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
West Palm Beach, FL
Past
January 31, 2022 - November 15, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
West Palm Beach, FL
Past
February 18, 2010 - October 14, 2022
TD AMERITRADE, INC.
RIA
CRD#: 7870
West Palm Beach, FL
Past
February 18, 2010 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
WEST PALM BEACH, FL
Past
February 18, 2010 - July 29, 2024
TD AMERITRADE, INC.
BD
CRD#: 7870
West Palm Beach, FL
Past
June 2, 2008 - September 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BREA, CA
Past
May 30, 2008 - September 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BREA, CA
Past
January 2, 2002 - June 2, 2008
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
WESTLAKE, TX
Past
July 28, 1992 - June 2, 2008
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BREA, CA
Past
January 3, 1990 - December 31, 1991
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
October 25, 1989 - November 24, 1989
J. W. GANT & ASSOCIATES, INC.
BD
CRD#: 7963
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CHARLES SCHWAB & CO., INC.
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
RIA
Registered Investment Advisory firm - SEC (7/24/1987 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CHARLES SCHWAB & CO., INC.
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
RIA
Registered Investment Advisory firm - SEC (7/24/1987 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
3000 Schwab Way, Lone Tree, CO 80124
Mailing Address
3000 Schwab Way Sf211mn-08-330, Westlake, TX 76262-8104
Phone number
(817) 859-5000
Established
California since 04/01/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
30,065
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
