Douglas A. Kamin
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 Andrew Kamin, who also goes by Douglas A Kamin, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1990. Douglas had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 24, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2017 - October 11, 2017
HIGHMORE GROUP
March 20, 2008 - September 12, 2008
ROBOTTI SECURITIES, LLC
April 7, 2003 - June 28, 2007
J.P. MORGAN CLEARING CORP.
April 7, 2003 - November 13, 2007
J.P. MORGAN SECURITIES LLC
August 25, 1994 - March 31, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 25, 1991 - August 10, 1994
SAFIAN INVESTMENT RESEARCH, INC.
January 24, 1990 - June 11, 1991
GRUNTAL & CO., L.L.C.
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 8
Date: 8/29/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HIGHMORE GROUP
CRD#: 174419 / SEC#: 802-131221
Contact information
Documents
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 8/29/2024 |
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.
