Douglas P. Harrigan

WHARTON MIDMARKET INVESTMENT ADVISORS

Milford, CT 06460

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CRD#: 1991560

Professional summary

Douglas Paul Harrigan JR, who also goes by Douglas P Harrigan, is a registered financial advisor currently at WHARTON MIDMARKET INVESTMENT ADVISORS INC located in Milford, Connecticut and WHARTON MIDMARKET SECURITIES INC. located in Milford, Connecticut.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Douglas has worked at 10 firms and has passed the Series 66, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Douglas P Harrigan

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.

1. DBA HARRIGAN INSURANCE AND FINANCIAL SERVICES, INC; INVESTMENT RELATED; SAME AS REGISTERED LOCATION; INSURANCE SALES; START DATE 4/94; POSITION: OWNER; TIME SPENT: 65 HOURS PER WEEK, SOME DURING TRADING HOURS; DUTIES: SALES & OFFICE MANAGER 2. Wharton Midmarket Investment Advisors Inc. Investment related; Sameas registered location; Securities Sales; Start 11/19; Position: Rep; Time Spent 10 hours per week, some during trading hours; Duties: Rep

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Paul Harrigan JR's CRS (Customer Relationship Summary).

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

January 12, 2021 - Present

WHARTON MIDMARKET INVESTMENT ADVISORS INC

Office #1: 1201 Boston Post Road, Milford, CT 06460

RIA

CRD#: 301186

Milford, CT

Current

June 21, 2017 - Present

WHARTON MIDMARKET SECURITIES INC.

Office #1: 1201 Boston Post Road, Milford, CT 06460

CRD#: 14521

CONCORD, NH

Past

October 10, 1989 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

October 10, 1989 - June 1, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

WHARTON MIDMARKET INVESTMENT ADVISORS INC

WHARTON MIDMARKET INVESTMENT ADVISORS INC | WHARTON MIDMARKET INVESTMENT ADVISORS INC.

CRD#: 301186 / SEC#: 801-116676

RIA

Registered Investment Advisory firm - (5/24/2019 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(6/21/2017)

IAR

Connecticut
(1/12/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/11/1996

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/9/1989

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

WHARTON MIDMARKET INVESTMENT ADVISORS INC

WHARTON MIDMARKET INVESTMENT ADVISORS INC | WHARTON MIDMARKET INVESTMENT ADVISORS INC.

CRD#: 301186 / SEC#: 801-116676

RIA

Registered Investment Advisory firm - (5/24/2019 Approved)

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Contact information

Main Address

27 Brook Road, Woodbridge, CT 06525

Mailing Address

Phone number

(203) 606-9696

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2024 ADV PART 2 (2/10/2025)

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 222,360,550

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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Advisor Monitoring

Firm Stability Insights

Douglas P. Harrigan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Paul Harrigan JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHARTON MIDMARKET SECURITIES INC.

WHARTON MIDMARKET INVESTMENT ADVISORS INC

SGMA CAPITAL MARKETS LIMITED

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

OSAIC FS, INC.

OSAIC FS, INC.

POLARIS ADVISORY SERVICES INC

POLARIS FINANCIAL SERVICES, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

WHARTON MIDMARKET INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/11/1996

SIE

Date: 10/1/2018

Series 6

Date: 10/9/1989

FINRA

Current Firm

WHARTON MIDMARKET INVESTMENT ADVISORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WHARTON MIDMARKET INVESTMENT ADVISORS INC

TRUST BUT VERIFY

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